Dora Sau Kuen Lee
李秀娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dora Sau Kuen Lee (李秀娟), a licensed former licensee with CE reference ADC635. This person has 11.2 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2014-06-03 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-30 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2014-06-03 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-30 |