Lee, Tsz Man 李子文
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 | AVENUE INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2022-10-05 | 2023-05-04 | Rep | Asset management | 2022-10-05 | 2023-05-04 | Rep | Dealing in securities | 2022-10-05 | 2023-05-04 | RO | Advising on securities | 2023-05-04 | 2023-12-12 | RO | Asset management | 2023-05-04 | 2023-12-12 | RO | Dealing in securities | 2023-05-04 | 2023-12-12 | Rep | Advising on securities | 2023-12-12 | 2024-02-29 | Rep | Asset management | 2023-12-12 | 2024-02-29 | Rep | Dealing in securities | 2023-12-12 | 2024-02-29 |
| 2 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2012-09-25 | 2012-12-19 |
| 3 | HARVEST GLOBAL INVESTMENTS LIMITED | Rep | Advising on securities | 2017-11-16 | 2021-06-04 | Rep | Asset management | 2017-11-16 | 2021-06-04 |
| 4 | Moody's Investors Service Hong Kong Limited | Rep | Credit rating services | 2012-12-28 | 2017-10-27 |
| 5 | RAM Investment Advisors Limited | Rep | Advising on securities | 2024-05-13 | 2024-10-07 | Rep | Asset management | 2024-05-13 | 2024-10-07 | Rep | Dealing in securities | 2024-05-13 | 2024-10-07 | RO | Advising on securities | 2024-10-07 | RO | Asset management | 2024-10-07 | RO | Dealing in securities | 2024-10-07 |
| 6 | VMS Asset Management Limited | Rep | Asset management | 2021-07-05 | 2022-09-17 | Rep | Advising on securities | 2021-12-16 | 2022-09-17 |
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