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. This person has 3.7 years of SFC licence history. Total licence records on file: 4.
Information
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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 |
Worked alongside
The 7 closest colleagues, strongest tie first — individuals licensed at the same firm as James Morris 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Zongyi Li | CMB Wing Lung Asset Management Limited | 2012–2014 |
| Hong Gao | CMB Wing Lung Asset Management Limited | 2012–2014 |
| Feifei Wang | CMB Wing Lung Asset Management Limited | 2012–2014 |
| George Jay Kim | CMB Wing Lung Asset Management Limited | 2012–2014 |
| Choon Hwee Law | CMB Wing Lung Asset Management Limited | 2012–2014 |
| John Po-Chuan Chen | CMB Wing Lung Asset Management Limited | 2012–2014 |
| Cindy Ching Yi Chan | CMB Wing Lung Asset Management Limited | 2013–2014 |