Lee, Karen King Wai 李荊慧
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 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in securities | 2006-02-01 | 2009-11-23 | Rep | Dealing in futures contracts | 2006-11-27 | 2009-11-23 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2004-04-28 | 2004-09-02 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2004-04-28 | 2004-09-02 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-05 | 2010-02-24 | Rep | Dealing in securities | 2008-06-05 | 2010-02-24 | Rep | Advising on futures contracts | 2008-06-24 | 2010-02-24 | Rep | Advising on securities | 2008-06-24 | 2010-02-24 |
| 5 | SBI China Capital Securities Limited | Rep | Dealing in securities | 2005-12-05 | 2006-01-24 |
| 6 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2010-05-20 | 2018-07-10 | Rep | Dealing in securities | 2010-05-20 | 2018-07-10 |
| 7 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2010-05-20 | 2016-12-18 | Rep | Automated trading services | 2011-12-09 | 2016-12-18 | Rep | Automated trading services | 2016-12-19 | 2018-07-10 | Rep | Dealing in securities | 2016-12-19 | 2018-07-10 |
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