Lee, Charles Chak Yan 李澤昕
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 | Arta Global Futures Limited | Rep | Dealing in futures contracts | 2020-07-14 | 2020-10-16 | RO | Dealing in futures contracts | 2020-10-16 | 2021-10-14 |
| 2 | Arta Global Markets Limited | Rep | Asset management | 2020-07-14 | 2020-10-16 | Rep | Dealing in securities | 2020-07-14 | 2020-10-16 | Rep | Advising on securities | 2020-07-14 | 2021-10-14 | RO | Asset management | 2020-10-16 | 2021-10-14 | RO | Dealing in securities | 2020-10-16 | 2021-10-14 |
| 3 | EAST ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-04-18 | 2011-04-28 |
| 4 | Emperor Asset Management Limited | Rep | Asset management | 2021-10-28 | |
| 5 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-11-22 | 2019-04-28 | Rep | Dealing in futures contracts | 2021-10-28 | 2023-10-30 | RO | Advising on futures contracts | 2023-10-30 | RO | Dealing in futures contracts | 2023-10-30 |
| 6 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2011-11-22 | 2019-04-28 | Rep | Advising on securities | 2021-10-28 | 2023-10-30 | Rep | Dealing in securities | 2021-10-28 | 2023-10-30 | RO | Advising on securities | 2023-10-30 | RO | Dealing in securities | 2023-10-30 |
| 7 | FULBRIGHT ASSET MANAGEMENT LIMITED | Rep | Asset management | 2019-06-06 | 2020-06-22 |
| 8 | FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2019-05-14 | 2020-06-22 |
| 9 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2019-05-14 | 2020-06-22 | Rep | Advising on securities | 2019-06-06 | 2020-06-22 |
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