Deborah Wai Chung Lee
李慧中
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Deborah Wai Chung Lee (李慧中), a licensed former licensee with CE reference AFY974. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-09 | 2015-03-13 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-09 | 2015-03-13 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2014-06-09 | 2015-03-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-31 | 2013-12-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-31 | 2013-12-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 — Asset management | 2012-07-31 | 2013-12-13 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-06 | 2013-12-13 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-06 | 2013-12-13 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-05-06 | 2013-12-13 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-03-16 | 2010-03-26 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2009-03-16 | 2010-03-26 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2009-03-16 | 2010-03-26 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-13 | 2009-02-18 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2005-04-13 | 2009-02-18 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 9 — Asset management | 2005-04-13 | 2009-02-18 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-04-07 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-04-07 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-10 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 9 — Asset management | present | 2005-04-07 |