Karen King Wai Lee
李荊慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen King Wai Lee (李荊慧), a licensed former licensee with CE reference AKL742. This person has 12.7 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2016-12-19 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2011-12-09 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-05-20 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2010-05-20 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-05-20 | 2018-07-10 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-06-24 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2008-06-24 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-06-05 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-05 | 2010-02-24 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-11-27 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-02-01 | 2009-11-23 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-12-05 | 2006-01-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-04-28 | 2004-09-02 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2004-04-28 | 2004-09-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Karen King Wai Lee during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.