Lee, Nicholas Kong Tze 李光祖
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 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2010-10-13 | 2014-06-10 | Rep | Dealing in futures contracts | 2013-05-30 | 2014-06-10 |
2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-10-13 | 2013-08-31 | Rep | Dealing in securities | 2010-10-13 | 2013-08-31 |
3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Asset management | 2024-09-04 | Rep | Dealing in securities | 2024-09-04 |
4 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2024-09-04 | |
5 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2006-04-19 | 2008-10-22 | Rep | Dealing in securities | 2014-08-01 | 2020-08-31 |
6 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2006-04-19 | 2008-10-22 | Rep | Dealing in futures contracts | 2014-08-01 | 2020-08-31 |
7 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-03-21 | 2008-10-22 |
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