James Morris Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Morris Lee ( ), a licensed former licensee with CE reference BAD885. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2024-09-03 | 2024-09-16 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-09 | 2016-11-08 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-28 | 2016-11-08 |
| CMB Wing Lung Asset Management Limited 招商永隆資產管理有限公司 |
Rep | Type 9 — Asset management | 2012-09-28 | 2014-05-01 |