Derek Ho Yin Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Derek Ho Yin Lee (李浩然), a licensed Responsible Officer with CE reference AOR573. Currently licensed at 1 firm(s): Pollock Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 17.3 years of SFC licence history. Total licence records on file: 23.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 4 - Advising on securities | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
RO | Type 9 - Asset management | 2019-09-06 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 1 - Dealing in securities | 2019-09-06 | 2019-09-06 |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 4 - Advising on securities | 2019-09-06 | 2019-09-06 |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 9 - Asset management | 2019-09-06 | 2019-09-06 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 - Asset management | 2016-06-07 | 2018-01-01 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 4 - Advising on securities | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 9 - Asset management | 2014-06-20 | 2016-06-07 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-11-28 | 2014-06-20 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-11-28 | 2014-06-20 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-11-28 | 2014-06-20 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 1 - Dealing in securities | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 4 - Advising on securities | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
RO | Type 9 - Asset management | 2013-01-10 | 2013-11-11 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-11 | 2013-01-10 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2011-07-11 | 2013-01-10 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 9 - Asset management | 2011-07-11 | 2013-01-10 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-03-12 | 2011-03-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-03-12 | 2011-03-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Derek Ho Yin Lee during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.