Lee Shin Koh
高立迅
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lee Shin Koh (高立迅), a licensed Responsible Officer with CE reference AXP374. Currently licensed at 1 firm(s): Wells Fargo Securities Asia 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: 8.
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 |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2022-12-15 | present |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2022-12-15 | present |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2022-12-15 | present |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2022-09-07 | 2022-12-15 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2022-08-16 | 2022-12-15 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2022-08-16 | 2022-12-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-18 | 2022-04-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-18 | 2022-04-28 |