Joseph Wau Chi Lee
李會智
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Wau Chi Lee (李會智), CE reference AAC009. Currently licensed at 1 firm(s): BOCOM International Securities Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-01 | present |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-06-01 | present |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-01-08 | 2017-01-01 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2017-01-01 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-11-08 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-11-08 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-07-21 |
| OCBC Securities Brokerage (Hong Kong) Limited 華僑證券經紀(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-11-08 |