Joyce Wan Siu Lee
李韻韶
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joyce Wan Siu Lee (李韻韶), a licensed former licensee with CE reference AGG841. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-05 | 2022-03-31 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-05 | 2022-03-31 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-20 | 2019-03-29 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-20 | 2019-03-29 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2006-04-28 | 2010-11-01 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2016-03-10 |
| ETRADE Securities Limited 億創證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-10-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2016-03-10 |
| ETRADE Securities Limited 億創證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2007-10-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-05 |
| ETRADE Securities Limited 億創證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-05 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-01-05 |
| ETRADE Securities Limited 億創證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-01-05 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-05 |
| ETRADE Securities Limited 億創證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-05 |