Yik Shan Lee
李亦山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yik Shan Lee (李亦山), a licensed former licensee with CE reference ADV592. Total licence records on file: 28.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2017-06-20 | 2018-10-31 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2017-06-20 | 2018-10-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-04-07 | 2018-10-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-01-13 | 2018-10-31 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-01-13 | 2018-10-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-11-21 | 2017-04-07 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-11-01 | 2017-01-13 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-11-01 | 2017-01-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-11-01 | 2017-06-20 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2016-11-01 | 2017-06-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-08-09 | 2015-12-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-08-09 | 2015-12-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2011-05-16 | 2014-11-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-10-19 | 2015-12-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-13 | 2012-08-09 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-15 | 2015-12-31 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-12-15 | 2011-01-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-28 | 2012-08-09 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-01-28 | 2011-01-27 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-01-28 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-01-28 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-02 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-02 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-02 |