Lee, Andrew Shu Yan 李樹仁

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

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