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. This person has 5.7 years of SFC licence history. Total licence records on file: 9.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carol Lok Man 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.