David (SFC:AHL406) Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David (SFC:AHL406) Lee ( ), a licensed former licensee with CE reference AHL406. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2010-11-26 | 2017-03-17 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2010-07-13 | 2017-03-17 |
| Merrill Lynch Futures (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-07-13 | 2010-12-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2009-05-25 | 2010-07-13 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2009-05-25 | 2010-07-13 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2008-11-04 | 2009-05-04 |
| Merrill Lynch Futures (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2008-11-04 | 2009-05-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-07-25 | 2008-11-04 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-07-25 | 2008-11-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-10-02 | 2008-06-23 |