Andrew Shu Yan Lee
李樹仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Shu Yan Lee (李樹仁), CE reference AFP239. Currently licensed at 2 firm(s): China Harbour International Securities Limited, China Harbour International Asset Management Limited. Total licence records on file: 41.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Harbour International Securities Limited 中灣國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2026-01-09 | present |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2026-01-09 | present |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
RO | Type 9 — Asset management | 2026-01-09 | present |
| China Harbour International Securities Limited 中灣國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-11-25 | 2026-01-09 |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2025-11-25 | 2026-01-09 |
| China Harbour International Asset Management Limited 中灣國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2025-11-25 | 2026-01-09 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2024-12-20 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 4 — Advising on securities | 2024-12-20 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
RO | Type 9 — Asset management | 2024-12-06 | 2025-09-15 |
| Sinohope Asset Management (Hong Kong) Limited 新火資產管理（香港）有限公司 |
Rep | Type 9 — Asset management | 2024-10-16 | 2024-12-06 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2023-11-07 | 2024-06-30 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2023-11-07 | 2024-06-30 |
| HC Securities (HK) Limited 海川證券(香港)有限公司 |
RO | Type 9 — Asset management | 2023-09-07 | 2024-06-30 |
| Macrowaters Asia Fund Management Limited 宏水亞洲基金管理有限公司 |
RO | Type 9 — Asset management | 2022-11-14 | 2023-03-13 |
| Eurizon Capital Asia Limited | RO | Type 1 — Dealing in securities | 2018-06-28 | 2022-05-01 |
| Eurizon Capital Asia Limited | RO | Type 4 — Advising on securities | 2016-10-26 | 2022-05-01 |
| Eurizon Capital Asia Limited | RO | Type 9 — Asset management | 2016-10-26 | 2022-05-01 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 4 — Advising on securities | 2013-11-11 | 2014-05-10 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 9 — Asset management | 2013-08-21 | 2014-05-10 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
Rep | Type 9 — Asset management | 2013-07-29 | 2013-08-21 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-26 | 2013-06-10 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-09-26 | 2013-06-10 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2010-10-28 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-09-20 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2008-04-01 | 2011-08-24 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-03-08 | 2010-10-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2007-03-08 | 2010-10-28 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2007-03-08 | 2011-08-24 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2007-03-08 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2007-03-08 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-01-06 | 2010-10-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-01-06 | 2010-10-28 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-11-30 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-30 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-11-30 |