Chris C Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chris C Lee, a licensed former licensee with CE reference AGX022. This person has 2.8 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-08-23 | 2009-02-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-07-29 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-07-29 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-07-29 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-07-29 |