Wing Yu Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wing Yu Lee (李穎妤), a licensed Responsible Officer with CE reference AYK447. Currently licensed at 2 firm(s): South China Securities Limited, South China Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 14.2 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 1 - Dealing in securities | 2020-07-02 | present |
| South China Capital Limited 南華融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-07-02 | present |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2020-05-28 | 2020-07-02 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-05-28 | 2020-07-02 |
| China Sunrise Capital Limited 華升資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-09-03 | 2020-03-08 |
| China Sunrise Capital Limited 華升資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2019-09-03 | 2020-03-08 |
| China Sunrise Capital Limited 華升資本有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-25 | 2019-09-03 |
| China Sunrise Capital Limited 華升資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-06-25 | 2019-09-03 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 - Dealing in securities | 2018-01-24 | 2019-03-20 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-09-06 | 2019-03-20 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-15 | 2018-01-24 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-08-15 | 2017-09-06 |
| Asia Pacific Financial Capital Limited 亞太金融融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-02-15 | 2017-07-31 |
| Asia Pacific Financial Capital Limited 亞太金融融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-03-21 | 2016-02-15 |
| Asia Pacific Securities Limited 亞太證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-12-05 | 2017-07-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wing Yu 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.