James Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Lee ( ), a licensed former licensee with CE reference ARE814. This person has 5.9 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| PricewaterhouseCoopers Corporate Finance Limited | Rep | Type 6 - Advising on corporate finance | 2022-05-12 | 2023-09-30 |
| Daewoo Securities (Hong Kong) Limited 大宇證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2012-05-02 | 2014-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-10-19 | 2011-09-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-10-19 | 2011-09-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-10-19 | 2011-09-15 |
| Sandell Asset Management Asia Limited |
Rep | Type 4 - Advising on securities | 2008-06-23 | 2008-12-18 |
| Sandell Asset Management Asia Limited |
Rep | Type 9 - Asset management | 2008-06-23 | 2008-12-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James 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.