Karen King Wai Lee
李荊慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen King Wai Lee (李荊慧), a licensed former licensee with CE reference AKL742. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2016-12-19 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2016-12-19 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2011-12-09 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2010-05-20 | 2018-07-10 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2010-05-20 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2010-05-20 | 2018-07-10 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-06-24 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2008-06-24 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-06-05 | 2010-02-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-06-05 | 2010-02-24 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-27 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-02-01 | 2009-11-23 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-12-05 | 2006-01-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-28 | 2004-09-02 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2004-04-28 | 2004-09-02 |