John Chen Kwok Lee
李鎮國
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Chen Kwok Lee (李鎮國), CE reference ACI535. Currently licensed at 1 firm(s): UBS Securities Hong Kong Limited. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2017-07-27 | present |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2017-03-08 | 2017-07-27 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2005-06-06 | 2016-12-01 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2005-06-06 | 2016-12-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |