Lee, Godwin Yiu Kai 李耀基
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 | Atherton Asset Management Limited | Rep | Asset management | 2015-02-03 | 2015-09-21 | RO | Asset management | 2015-09-21 | 2017-02-28 | RO | Asset management | 2020-12-22 | 2022-07-05 |
| 2 | CITIC Securities Brokerage (HK) Limited | Rep | Advising on securities | 2011-09-05 | 2012-07-01 | Rep | Dealing in securities | 2011-09-05 | 2012-07-01 |
| 3 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2011-09-05 | 2012-07-01 |
| 4 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-11-18 | Rep | Advising on securities | 2003-11-18 | Rep | Asset management | 2003-11-18 | Rep | Automated trading services | 2003-11-18 | Rep | Dealing in securities | 2004-12-14 |
| 5 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2003-11-19 | 2004-12-14 |
| 6 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-11-18 | Rep | Advising on securities | 2003-11-18 | Rep | Asset management | 2003-11-18 | Rep | Automated trading services | 2003-11-18 | Rep | Dealing in securities | 2004-12-14 |
| 7 | Finet Securities Limited | RO | Asset management | 2017-03-07 | 2017-06-28 |
| 8 | Hua Liang Asset Management Limited | RO | Advising on securities | 2019-06-03 | 2020-10-16 | RO | Asset management | 2019-06-03 | 2020-10-16 |
| 9 | Hua Liang Securities Limited | RO | Advising on futures contracts | 2019-06-03 | 2020-10-16 | RO | Advising on securities | 2019-06-03 | 2020-10-16 | RO | Dealing in futures contracts | 2019-06-03 | 2020-10-16 | RO | Dealing in securities | 2019-06-03 | 2020-10-16 |
| 10 | KGI ASIA LIMITED | Rep | Dealing in securities | 2005-02-05 | 2011-08-23 |
| 11 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-02-05 | 2011-08-23 |
| 12 | NNFE International Asset Management Limited | Rep | Asset management | 2018-04-12 | 2018-04-12 | RO | Asset management | 2018-04-12 | 2019-04-30 | RO | Advising on securities | 2018-09-04 | 2019-04-30 |
| 13 | RELIANCE INTERNATIONAL FINANCIAL PLANNERS LIMITED | RO | Advising on securities | 2022-11-01 | RO | Asset management | 2022-11-01 | RO | Dealing in securities | 2022-11-01 |
| 14 | VisionGain Capital Limited | Rep | Advising on securities | 2012-08-16 | 2015-02-01 | Rep | Asset management | 2012-08-16 | 2015-02-01 |
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