Wai Sum Lee
李瑋琛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Sum Lee (李瑋琛), a licensed former licensee with CE reference AUR858. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-21 | 2019-08-17 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-21 | 2019-08-17 |
| Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-08-21 | 2019-08-17 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-14 | 2018-08-21 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-13 | 2018-04-27 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 4 — Advising on securities | 2014-11-13 | 2018-04-27 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-11-13 | 2018-04-27 |
| Maunakai Capital Partners (Hong Kong) Limited 鼎勝資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-02-11 | 2011-07-04 |
| Maunakai Capital Partners (Hong Kong) Limited 鼎勝資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-02-11 | 2011-07-04 |