Xiao Qin Ervin Lee
李孝勤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Qin Ervin Lee (李孝勤), a licensed former licensee with CE reference BNR822. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-07-27 | 2022-12-20 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-02-10 | 2022-12-20 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-10 | 2022-12-20 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-17 | 2019-10-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 — Advising on securities | 2019-01-17 | 2019-10-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-01-17 | 2019-10-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-22 | 2019-01-17 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-22 | 2019-01-17 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-10-22 | 2019-01-17 |