Siu San Rocky Lee
李少燊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu San Rocky Lee (李少燊), a licensed Responsible Officer with CE reference AWC885. Currently licensed at 1 firm(s): Shenwan Hongyuan Capital (H.K.) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 23.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-06-21 | 2019-09-23 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-26 | 2019-06-14 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-09 | 2018-06-05 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 4 — Advising on securities | 2018-02-09 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-22 | 2018-02-09 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-05-22 | 2018-02-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-05-22 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-12-29 | 2017-05-22 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-29 | 2017-05-22 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-12-29 | 2017-05-22 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-21 | 2016-01-15 |