Lee, Siu Ming (SFC:AFH445) 李小明
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 | BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | Advising on corporate finance | 2003-07-23 | Rep | Advising on corporate finance | 2004-07-07 | 2006-05-19 |
| 2 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2009-05-15 | 2016-02-17 | Rep | Dealing in securities | 2009-05-15 | 2016-02-17 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2007-09-03 | 2008-06-20 | Rep | Dealing in securities | 2007-09-03 | 2008-06-20 |
| 4 | NATIXIS ASIA LIMITED | Rep | Advising on securities | 2022-08-22 | Rep | Dealing in securities | 2022-08-22 |
| 5 | RHB CAPITAL HONG KONG LIMITED | Rep | Advising on corporate finance | 2003-08-13 | 2003-10-22 |
| 6 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Advising on corporate finance | 2003-11-12 | 2004-07-07 |
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