Lee, Andrew Shu Yan 李樹仁
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 | ABCI ASSET MANAGEMENT LIMITED | Rep | Asset management | 2013-07-29 | 2013-08-21 | RO | Asset management | 2013-08-21 | 2014-05-10 | RO | Advising on securities | 2013-11-11 | 2014-05-10 |
| 2 | AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED | Rep | Advising on corporate finance | 2004-11-30 | Rep | Advising on securities | 2004-11-30 | Rep | Asset management | 2004-11-30 |
| 3 | Eurizon Capital Asia Limited | RO | Advising on securities | 2016-10-26 | 2022-05-01 | RO | Asset management | 2016-10-26 | 2022-05-01 | RO | Dealing in securities | 2018-06-28 | 2022-05-01 |
| 4 | GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED | Rep | Advising on securities | 2011-09-26 | 2013-06-10 | Rep | Asset management | 2011-09-26 | 2013-06-10 |
| 5 | Halbis Capital Management (Hong Kong) Limited | Rep | Advising on securities | 2005-07-15 | 2007-03-08 | Rep | Asset management | 2005-07-15 | 2007-03-08 | RO | Advising on futures contracts | 2007-03-08 | 2011-08-24 | RO | Advising on securities | 2007-03-08 | 2011-08-24 | RO | Asset management | 2007-03-08 | 2011-08-24 | RO | Dealing in securities | 2007-03-08 | 2011-08-24 | RO | Dealing in futures contracts | 2008-04-01 | 2011-08-24 |
| 6 | HC Securities (HK) Limited | RO | Asset management | 2023-09-07 | RO | Advising on securities | 2023-11-07 | RO | Dealing in securities | 2023-11-07 |
| 7 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2005-01-06 | 2010-10-28 | Rep | Asset management | 2005-01-06 | 2010-10-28 | Rep | Advising on futures contracts | 2007-03-08 | 2010-10-28 | Rep | Dealing in securities | 2007-03-08 | 2010-10-28 | RO | Dealing in futures contracts | 2010-09-20 | 2011-08-24 | RO | Advising on futures contracts | 2010-10-28 | 2011-08-24 | RO | Advising on securities | 2010-10-28 | 2011-08-24 | RO | Asset management | 2010-10-28 | 2011-08-24 | RO | Dealing in securities | 2010-10-28 | 2011-08-24 |
| 8 | MACROWATERS ASIA FUND MANAGEMENT LIMITED | RO | Asset management | 2022-11-14 | 2023-03-13 |
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