Chan, Lee Quan
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 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2022-07-04 | 2023-03-02 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2022-07-04 | 2023-03-02 | Rep | Dealing in securities | 2022-07-04 | 2023-03-02 |
| 3 | Nuvama Investment Advisors (Hongkong) Private Limited | Rep | Advising on securities | 2023-11-20 | 2023-11-29 | RO | Advising on futures contracts | 2023-11-29 | RO | Advising on securities | 2023-11-29 | RO | Dealing in futures contracts | 2023-11-29 | RO | Dealing in securities | 2023-11-29 |
| 4 | RiverCircle Investments Limited | Rep | Advising on securities | 2023-04-19 | 2023-11-06 | Rep | Asset management | 2023-04-19 | 2023-11-06 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2017-11-06 | 2022-03-30 | Rep | Dealing in securities | 2017-11-06 | 2022-03-30 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2017-11-06 | 2022-03-30 | Rep | Dealing in securities | 2017-11-06 | 2022-03-30 |
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