Lee, Rocky Siu San 李少燊
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 EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2016-12-29 | 2017-05-22 | RO | Advising on corporate finance | 2017-05-22 | 2018-06-05 | RO | Advising on securities | 2018-02-09 | 2018-06-05 | RO | Dealing in securities | 2018-02-09 | 2018-06-05 |
| 2 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2016-12-29 | 2017-05-22 | Rep | Dealing in securities | 2016-12-29 | 2017-05-22 | RO | Advising on securities | 2017-05-22 | 2018-02-09 | RO | Dealing in securities | 2017-05-22 | 2018-02-09 |
| 3 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2018-06-26 | 2019-06-14 | Rep | Advising on securities | 2018-06-26 | 2019-06-14 | Rep | Dealing in securities | 2018-06-26 | 2019-06-14 |
| 4 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2010-10-21 | 2016-01-15 | Rep | Advising on securities | 2010-10-21 | 2016-01-15 | Rep | Dealing in securities | 2010-10-21 | 2016-01-15 | RO | Advising on corporate finance | 2016-01-15 | 2016-04-02 | RO | Advising on securities | 2016-01-15 | 2016-04-02 | RO | Dealing in securities | 2016-01-15 | 2016-04-02 |
| 5 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2019-06-21 | 2019-09-23 | Rep | Advising on securities | 2019-06-21 | 2019-09-23 | Rep | Dealing in securities | 2019-06-21 | 2019-09-23 | RO | Advising on corporate finance | 2019-09-23 | RO | Advising on securities | 2019-09-23 | RO | Dealing in securities | 2019-09-23 |
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