Lee, Siu Lun (SFC:ABN376) 李兆麟
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 | AISANCE ASSET MANAGEMENT LIMITED | RO | Dealing in futures contracts | 2003-06-30 | 2007-10-28 | Rep | Dealing in futures contracts | 2008-08-04 | 2008-10-03 | RO | Dealing in futures contracts | 2008-10-03 | 2013-02-22 |
| 2 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-10-15 | 2017-09-01 |
| 3 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | RO | Advising on futures contracts | 2007-12-18 | 2008-07-11 | RO | Advising on securities | 2007-12-18 | 2008-07-11 | RO | Dealing in futures contracts | 2007-12-18 | 2008-07-11 | RO | Dealing in securities | 2007-12-18 | 2008-07-11 |
| 4 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2003-06-26 | Rep | Advising on securities | 2003-06-26 | Rep | Asset management | 2003-06-26 | Rep | Dealing in securities | 2003-06-26 | RO | Automated trading services | 2003-06-26 | 2003-07-21 | RO | Dealing in securities | 2003-06-26 | 2007-10-28 | RO | Advising on securities | 2003-12-23 | 2007-10-28 | Rep | Advising on securities | 2008-08-04 | 2008-10-03 | Rep | Dealing in securities | 2008-08-04 | 2008-10-03 | RO | Advising on securities | 2008-10-03 | 2017-10-02 | RO | Dealing in securities | 2008-10-03 | 2017-10-02 | RO | Advising on securities | 2017-10-03 | RO | Dealing in securities | 2017-10-03 |
| 5 | KGI CAPITAL ASIA LIMITED | RO | Advising on securities | 2013-04-18 | RO | Dealing in securities | 2013-07-26 |
| 6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-06-26 | Rep | Asset management | 2003-06-26 | Rep | Dealing in futures contracts | 2003-06-26 | RO | Dealing in futures contracts | 2003-06-26 | 2007-10-28 | RO | Advising on futures contracts | 2003-12-23 | 2007-10-28 | Rep | Advising on futures contracts | 2008-08-04 | 2008-10-03 | Rep | Dealing in futures contracts | 2008-08-04 | 2008-10-03 | RO | Advising on futures contracts | 2008-10-03 | RO | Dealing in futures contracts | 2008-10-03 |
| 7 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-06-26 | Rep | Advising on securities | 2003-06-26 | Rep | Asset management | 2003-06-26 | Rep | Automated trading services | 2003-06-26 | Rep | Dealing in securities | 2003-06-26 | RO | Automated trading services | 2003-06-26 | 2003-07-21 | RO | Dealing in securities | 2003-06-26 | 2007-10-28 | RO | Advising on securities | 2003-12-23 | 2007-10-28 | Rep | Advising on securities | 2008-08-04 | 2008-10-03 | Rep | Dealing in securities | 2008-08-04 | 2008-10-03 | RO | Advising on securities | 2008-10-03 | 2017-10-02 | RO | Dealing in securities | 2008-10-03 | 2017-10-02 |
| 8 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | RO | Dealing in securities | 2010-03-08 | 2017-10-02 |
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