Ka Wo Lee
李家和
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wo Lee (李家和), a licensed former licensee with CE reference AUX259. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-10-24 | 2022-03-11 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-02 | 2022-03-11 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 - Advising on securities | 2010-08-27 | 2012-11-30 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-25 | 2012-11-30 |