Lee Peter Wallace
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lee Peter Wallace ( ), a licensed former licensee with CE reference ADM554. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Structured Funds (Asia) Limited | RO | Type 4 — Advising on securities | 2007-03-23 | 2007-08-01 |
| HSBC Securities (Asia) Limited | RO | Type 1 — Dealing in securities | 2006-05-16 | 2008-11-18 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2006-05-16 | 2008-11-18 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | 2005-07-20 | 2006-05-16 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-20 | 2006-05-16 |
| Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | Type 4 — Advising on securities | 2004-09-02 | 2005-06-18 |
| Instinet Pacific Limited 極訊亞太有限公司 |
RO | Type 4 — Advising on securities | 2004-09-02 | 2005-06-18 |
| Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | Type 7 — Providing automated trading services | 2004-09-02 | 2005-06-18 |
| Instinet Pacific Limited 極訊亞太有限公司 |
RO | Type 7 — Providing automated trading services | 2004-09-02 | 2005-06-18 |
| Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-06-18 |
| Instinet Pacific Limited 極訊亞太有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-06-18 |
| Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-11-03 |
| Instinet Pacific Limited 極訊亞太有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-11-03 |