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. This person has 14.8 years of SFC licence history. Total licence records on file: 28.
Information
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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 | Pre-2003 | 2004-01-28 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-01-28 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 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 | Pre-2003 | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 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 | Pre-2003 | 2003-09-02 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-02 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yik Shan 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.