Rosa Wai Tsang Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rosa Wai Tsang Lee (李惟琤), a licensed Responsible Officer with CE reference AIZ436. Currently licensed at 2 firm(s): Xin Yongan International Securities Company Limited, Xin Yongan International Asset Management Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 22.0 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Xin Yongan International Securities Company Limited 新永安國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2024-01-05 | present |
| Xin Yongan International Asset Management Company Limited 新永安國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2024-01-05 | present |
| Xin Yongan International Asset Management Company Limited 新永安國際資產管理有限公司 |
RO | Type 9 - Asset management | 2024-01-05 | present |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-10-10 | 2024-01-04 |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 4 - Advising on securities | 2019-10-10 | 2024-01-04 |
| Grand Capital Securities Limited 大唐資本證券有限公司 |
RO | Type 9 - Asset management | 2019-10-10 | 2024-01-04 |
| Zeta Capital (H.K.) Limited 思達資本(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-02-04 | 2019-10-08 |
| Zeta Capital (H.K.) Limited 思達資本(香港)有限公司 |
RO | Type 9 - Asset management | 2019-02-04 | 2019-10-08 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-01-13 | 2019-01-18 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-01-04 | 2019-01-18 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-12 | 2019-01-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rosa Wai Tsang Lee during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.