Lee, Xiao Qin Ervin 李孝勤
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on corporate finance | 2018-10-22 | 2019-01-17 | Rep | Advising on securities | 2018-10-22 | 2019-01-17 | Rep | Dealing in securities | 2018-10-22 | 2019-01-17 | RO | Advising on corporate finance | 2019-01-17 | 2019-10-31 | RO | Advising on securities | 2019-01-17 | 2019-10-31 | RO | Dealing in securities | 2019-01-17 | 2019-10-31 |
| 2 | GUOTAI JUNAN CAPITAL LIMITED | Rep | Advising on corporate finance | 2022-07-27 | 2022-12-20 |
| 3 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2020-02-10 | 2022-12-20 | Rep | Dealing in securities | 2020-02-10 | 2022-12-20 |
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