Lee, Siu Yuen (SFC:ADH412) 李兆源
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 | BUSINESS SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-09-25 | |
| 2 | BUSINESS FUTURES LIMITED | Rep | Advising on futures contracts | 2003-09-25 | |
| 3 | BUSINESS SECURITIES LIMITED | Rep | Advising on securities | 2003-09-25 | |
| 4 | BUSINESS FUTURES LIMITED | Rep | Asset management | 2003-09-25 | BUSINESS SECURITIES LIMITED | Rep | 2003-09-25 |
| 5 | BUSINESS FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-08-28 | SBI China Capital Commodities Limited | Rep | 2009-09-15 | 2013-02-28 |
| 6 | BUSINESS SECURITIES LIMITED | Rep | Dealing in securities | 2009-08-28 | SBI China Capital Financial Services Limited | Rep | 2009-09-15 | 2019-03-27 | SBI China Capital Securities Limited | Rep | 2009-09-15 | 2011-09-30 |
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