Siu Yuen Lee
李兆源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yuen Lee (李兆源), a licensed former licensee with CE reference ADH412. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-15 | 2019-03-27 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-15 | 2011-09-30 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-09-15 | 2013-02-28 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-08-28 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-08-28 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-25 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-25 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-25 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-25 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-25 |