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), a licensed Responsible Officer with CE reference ACI535. Currently licensed at 1 firm(s): UBS Securities Hong Kong Limited. Active regulated activities: Type 6 - Advising on corporate finance. This person has 23.0 years of SFC licence history. Total licence records on file: 17.
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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 | Pre-2003 | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |