James (SFC:ARE814) Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James (SFC:ARE814) Lee ( ), a licensed former licensee with CE reference ARE814. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| PricewaterhouseCoopers Corporate Finance Limited | Rep | Type 6 — Advising on corporate finance | 2022-05-12 | 2023-09-30 |
| Daewoo Securities (Hong Kong) Limited 大宇證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-05-02 | 2014-06-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-19 | 2011-09-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-19 | 2011-09-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-19 | 2011-09-15 |
| Sandell Asset Management Asia Limited |
Rep | Type 4 — Advising on securities | 2008-06-23 | 2008-12-18 |
| Sandell Asset Management Asia Limited |
Rep | Type 9 — Asset management | 2008-06-23 | 2008-12-18 |