Lee, Sze Wan (SFC:AKS933) 李詩韻
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 | HAITONG INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-08-06 | 2006-09-15 |
| 2 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on corporate finance | 2006-09-25 | 2011-09-20 |
| 3 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2006-09-27 | 2011-09-20 |
| 4 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-10-12 | 2011-11-02 |
| 5 | DBS ASIA CAPITAL LIMITED | Rep | Advising on securities | 2011-10-12 | 2011-11-02 |
| 6 | DBS ASIA CAPITAL LIMITED | Rep | Dealing in securities | 2011-10-12 | 2011-11-02 |
| 7 | DBS ASIA CAPITAL LIMITED | RO | Advising on corporate finance | 2011-11-02 | 2014-06-18 |
| 8 | DBS ASIA CAPITAL LIMITED | RO | Advising on securities | 2011-11-02 | 2014-06-18 |
| 9 | DBS ASIA CAPITAL LIMITED | RO | Dealing in securities | 2011-11-02 | 2014-06-18 |
| 10 | FRONTIER CAPITAL INVESTMENT LIMITED | Rep | Advising on corporate finance | 2014-07-15 | 2014-08-18 |
| 11 | FRONTIER CAPITAL INVESTMENT LIMITED | Rep | Advising on securities | 2014-07-15 | 2014-08-18 |
| 12 | FRONTIER CAPITAL INVESTMENT LIMITED | Rep | Dealing in securities | 2014-07-15 | 2014-08-18 |
| 13 | FRONTIER CAPITAL INVESTMENT LIMITED | RO | Advising on corporate finance | 2014-08-18 | 2014-08-31 |
| 14 | FRONTIER CAPITAL INVESTMENT LIMITED | RO | Advising on securities | 2014-08-18 | 2014-08-31 |
| 15 | FRONTIER CAPITAL INVESTMENT LIMITED | RO | Dealing in securities | 2014-08-18 | 2014-08-31 |
| 16 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on corporate finance | 2014-09-30 | 2014-11-24 |
| 17 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2014-09-30 | 2014-11-24 |
| 18 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Dealing in securities | 2014-09-30 | 2014-11-24 |
| 19 | China Galaxy International Securities (Hong Kong) Co., Limited | RO | Advising on corporate finance | 2014-11-24 | |
| 20 | China Galaxy International Securities (Hong Kong) Co., Limited | RO | Advising on securities | 2014-11-24 | |
| 21 | China Galaxy International Securities (Hong Kong) Co., Limited | RO | Dealing in securities | 2014-11-24 |
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