Lok Ming Lee
李樂鳴
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lok Ming Lee (李樂鳴), CE reference BBP703. Currently licensed at 1 firm(s): Capital International, Inc.. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital International, Inc. |
Rep | Type 1 — Dealing in securities | 2021-02-17 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-20 | 2021-01-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-20 | 2021-01-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2017-03-20 | 2021-01-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-07-22 | 2017-02-03 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-07-22 | 2017-02-03 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-07-22 | 2017-02-03 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-07-22 | 2017-02-03 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-07-22 | 2017-02-03 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-07-22 | 2017-02-03 |