Kenneth Siu Ming Lee
李兆明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenneth Siu Ming Lee (李兆明), a licensed Responsible Officer with CE reference ACC420. Currently licensed at 1 firm(s): Tarzan Stock & Shares Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-03-24 | present |
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
RO | Type 4 — Advising on securities | 2017-03-24 | present |
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2017-03-24 |
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-25 |
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-01-25 |
| Tarzan Stock & Shares Limited 泰山證券有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-25 |