Kwok Yan Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Yan Lee (李珏昕), a licensed Responsible Officer with CE reference BIO431. Currently licensed at 1 firm(s): China Merchants Securities (HK) Co., Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 9.4 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2026-04-27 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-30 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2026-03-30 | 2026-04-27 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2024-05-13 | 2026-01-23 |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2023-05-25 | 2026-01-23 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-05-25 | 2024-05-13 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-02-17 | 2023-05-11 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-02-17 | 2023-05-11 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-16 | 2022-01-12 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-16 | 2022-01-12 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-11-16 | 2022-01-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Yan 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.