Hoi Yan (SFC:AXZ043) Lee
李凱恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hoi Yan (SFC:AXZ043) Lee (李凱恩), CE reference AXZ043. Currently licensed at 1 firm(s): Dakin Capital Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Dakin Capital Limited 德健融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-07-19 | present |
| Dakin Capital Limited 德健融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-05-18 | 2016-07-19 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2015-11-05 | 2016-04-26 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-11-05 | 2016-04-26 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-12 | 2015-11-05 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-03-12 | 2015-11-05 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-30 | 2014-02-24 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-30 | 2014-02-24 |
| 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 | 2011-08-30 | 2014-02-24 |