Siu San Rocky Lee
李少燊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu San Rocky Lee (李少燊), CE reference AWC885. Currently licensed at 1 firm(s): Shenwan Hongyuan Capital (H.K.) Limited. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-06-21 | 2019-09-23 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-26 | 2019-06-14 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-09 | 2018-06-05 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 4 — Advising on securities | 2018-02-09 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-22 | 2018-02-09 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-05-22 | 2018-02-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-05-22 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-12-29 | 2017-05-22 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-29 | 2017-05-22 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-12-29 | 2017-05-22 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-10-21 | 2016-01-15 |