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. This person has 15.9 years of SFC licence history. Total licence records on file: 10.
Information
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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 | Pre-2003 | 2009-08-28 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2009-08-28 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-25 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-09-25 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-25 |
| Business Futures Limited 東信期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-25 |
| Business Securities Limited 東信證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Yuen Lee during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.