Lee, Nancy Shuk Ying 李淑英

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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
1 313 Capital Management Limited Rep Advising on securities 2014-09-05 2014-11-04
Rep Asset management 2014-09-05 2014-11-04
RO Advising on securities 2014-11-04 2015-10-20
RO Asset management 2014-11-04 2015-10-20
2 Beevest Fortune Asset Management Limited RO Advising on securities 2015-11-10 2019-02-08
RO Asset management 2015-11-10 2019-02-08
3 CMS CAPITAL (HK) CO., LIMITED Rep Asset management 2007-09-25 2007-10-15
RO Advising on securities 2008-06-02 2009-01-10
RO Asset management 2008-06-02 2009-01-10
4 dLab Asset Management Limited RO Advising on securities 2021-02-02
RO Asset management 2021-02-02
5 GLAM Capital Limited Rep Advising on securities 2019-04-04 2019-05-08
Rep Asset management 2019-04-04 2019-05-08
6 Growth Track Asset Management Limited RO Asset management 2014-03-18 2014-08-15
7 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED Rep Advising on securities 2005-04-07 2009-01-10
Rep Asset management 2005-04-07 2009-01-10
Rep Advising on futures contracts 2008-12-02 2009-01-10
8 HAITONG INTERNATIONAL FUTURES LIMITED Rep Dealing in futures contracts 2008-10-09 2009-01-10
9 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED Rep Advising on securities 2007-03-21 2007-04-25
Rep Asset management 2007-03-21 2007-04-25
RO Advising on securities 2007-04-25 2009-01-10
RO Asset management 2007-04-25 2009-01-10
10 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Dealing in securities 2008-10-09 2009-01-10
11 IMPERIAL CAPITAL LIMITED (HK) RO Advising on securities 2012-11-13 2014-02-17
RO Asset management 2012-11-13 2014-02-17

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