Tommy Wong Lee
李旺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tommy Wong Lee (李旺), a licensed former licensee with CE reference AAC644. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-05-06 | 2021-08-27 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-05-06 | 2021-08-27 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-08-07 | 2021-04-16 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-08-07 | 2021-04-16 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-07 |
| Upbest Commodities Company Limited 美建期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-07 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-07 |