Carol Lok Man Lee
李樂雯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Lok Man Lee (李樂雯), a licensed former licensee with CE reference AQD485. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JVSakk Asset Management Limited 匯通永利資產管理有限公司 |
Rep | Type 9 — Asset management | 2012-06-15 | 2014-02-07 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-26 | 2012-04-27 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-04-26 | 2012-04-27 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2009-06-18 | 2010-03-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-30 | 2010-03-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-04-30 | 2010-03-05 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2008-01-17 | 2009-03-07 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-14 | 2009-03-07 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-12-14 | 2009-03-07 |