Wai Man (SFC:AWC512) Lee
李慧文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Man (SFC:AWC512) Lee (李慧文), a licensed former licensee with CE reference AWC512. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 1 — Dealing in securities | 2021-05-28 | 2021-12-28 |
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 4 — Advising on securities | 2021-05-28 | 2021-12-28 |
| BOCOM MPF & Financial Services Company Limited 交銀積金理財服務有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-20 | 2020-10-06 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-26 | 2017-09-23 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-15 | 2017-09-23 |
| Principal Global Investors (Asia) Limited 信安環球投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2015-08-10 |