Lee, Carol Lok Man 李樂雯
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | FIRST SHANGHAI FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-26 | 2012-04-27 |
| 2 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Dealing in securities | 2010-04-26 | 2012-04-27 |
| 3 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-04-30 | 2010-03-05 |
| 4 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2009-04-30 | 2010-03-05 | Rep | Leveraged foreign exchange trading | 2009-06-18 | 2010-03-05 |
| 5 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2008-01-17 | 2009-03-07 |
| 6 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2007-12-14 | 2009-03-07 |
| 7 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-12-14 | 2009-03-07 |
| 8 | JVSakk Asset Management Limited | Rep | Asset management | 2012-06-15 | 2014-02-07 |
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