Lee, Wai Man (SFC:AWC512) 李慧文
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 | BCT Financial Limited | Rep | Advising on securities | 2021-05-28 | 2021-12-28 | Rep | Dealing in securities | 2021-05-28 | 2021-12-28 |
| 2 | BOCOM MPF & Financial Services Company Limited | Rep | Dealing in securities | 2017-11-20 | 2020-10-06 |
| 3 | PRINCIPAL GLOBAL INVESTORS (ASIA) LIMITED | Rep | Dealing in securities | 2010-10-26 | 2015-08-10 |
| 4 | Principal Investment & Retirement Services Limited | Rep | Dealing in securities | 2014-07-15 | 2017-09-23 | Rep | Advising on securities | 2015-06-26 | 2017-09-23 |
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