Ken Cham Chung Lee
李湛聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ken Cham Chung Lee (李湛聰), a licensed former licensee with CE reference ADU738. This person has 5.8 years of SFC licence history. Total licence records on file: 15.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 - Dealing in securities | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 5 - Advising on futures contracts | 2006-09-18 | 2009-01-20 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2006-08-22 | 2006-09-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2006-04-01 | 2006-09-18 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-04-01 | 2006-09-18 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 - Dealing in securities | 2005-04-29 | 2006-04-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-04-29 | 2006-04-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-04-29 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-04-29 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-10-12 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-12 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-12 |