Rosanna Tsz Kwun Lee
李旨坤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rosanna Tsz Kwun Lee (李旨坤), a licensed former licensee with CE reference AAQ009. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-04 | 2017-08-01 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-04 | 2017-08-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-24 | 2021-12-08 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-11-24 | 2021-12-08 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | present | 2021-12-08 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | present | 2021-12-08 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-17 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-17 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-06-18 |