Lee, Alan Yiu Chung 李耀宗
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 | Beijing Securities Limited | Rep | Advising on corporate finance | 2010-03-15 | 2011-05-15 | Rep | Advising on securities | 2010-03-15 | 2011-05-15 | Rep | Dealing in securities | 2010-03-15 | 2011-05-15 |
| 2 | GUOYUAN CAPITAL (HONG KONG) LIMITED | RO | Advising on corporate finance | 2014-10-30 | 2016-02-19 | RO | Dealing in securities | 2014-10-30 | 2016-02-19 | Rep | Advising on corporate finance | 2017-09-20 | 2018-04-09 | Rep | Dealing in securities | 2017-09-20 | 2018-04-09 | RO | Advising on corporate finance | 2018-04-09 | 2023-05-31 | RO | Dealing in securities | 2018-04-09 | 2023-05-31 |
| 3 | Neutral Financial Holding Company Limited | Rep | Advising on corporate finance | 2006-09-22 | 2010-02-26 | Rep | Advising on securities | 2006-09-22 | 2010-02-26 | Rep | Dealing in securities | 2006-09-22 | 2010-02-26 |
| 4 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-05-16 | 2012-09-20 | Rep | Dealing in securities | 2011-05-16 | 2012-09-20 | RO | Advising on corporate finance | 2012-09-20 | 2014-06-12 | RO | Dealing in securities | 2012-09-20 | 2014-06-12 |
| 5 | Yi Shun Da Capital Limited | Rep | Advising on corporate finance | 2016-03-09 | 2016-03-15 | Rep | Dealing in securities | 2016-03-09 | 2016-03-15 | RO | Advising on corporate finance | 2016-03-15 | 2017-09-10 | RO | Dealing in securities | 2016-03-15 | 2017-09-10 |
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