Lee, Hoi Yan (SFC:AXZ043) 李凱恩
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 | DAKIN CAPITAL LIMITED | Rep | Advising on corporate finance | 2016-05-18 | 2016-07-19 | RO | Advising on corporate finance | 2016-07-19 |
| 2 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2014-03-12 | 2015-11-05 | Rep | Dealing in securities | 2014-03-12 | 2015-11-05 | RO | Advising on corporate finance | 2015-11-05 | 2016-04-26 | RO | Dealing in securities | 2015-11-05 | 2016-04-26 |
| 3 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2011-08-30 | 2014-02-24 | Rep | Advising on securities | 2011-08-30 | 2014-02-24 | Rep | Dealing in securities | 2011-08-30 | 2014-02-24 |
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