SFC Licences of LEE Siu Lun 李兆麟

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
KGI Asia Limited 凱基證券亞洲有限公司 RO 4 03 October 2017
KGI Asia Limited 凱基證券亞洲有限公司 RO 1 03 October 2017
KGI Capital Asia Limited 凱基金融亞洲有限公司 RO 1 26 July 2013
KGI Capital Asia Limited 凱基金融亞洲有限公司 RO 4 18 April 2013
Grand Cathay Securities (Hong Kong) Limited 大華證券(香港)有限公司 RE 1 15 October 2012 01 September 2017
KGI Wealth Management Limited 凱基財富管理有限公司 RO 1 08 March 2010 02 October 2017
KGI Asia Limited 凱基證券亞洲有限公司 RO 4 03 October 2008 02 October 2017
KGI Asia Limited 凱基證券亞洲有限公司 RO 1 03 October 2008 02 October 2017
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 4 03 October 2008 02 October 2017
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 1 03 October 2008 02 October 2017
Aisance Asset Management Limited 君達資產管理有限公司 RO 2 03 October 2008 22 February 2013
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 5 03 October 2008
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 2 03 October 2008
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 5 04 August 2008 03 October 2008
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 04 August 2008 03 October 2008
KGI Asia Limited 凱基證券亞洲有限公司 RE 4 04 August 2008 03 October 2008
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 04 August 2008 03 October 2008
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 4 04 August 2008 03 October 2008
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 1 04 August 2008 03 October 2008
Aisance Asset Management Limited 君達資產管理有限公司 RE 2 04 August 2008 03 October 2008
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RO 5 18 December 2007 11 July 2008
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RO 4 18 December 2007 11 July 2008
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RO 2 18 December 2007 11 July 2008
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RO 1 18 December 2007 11 July 2008
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 5 23 December 2003 28 October 2007
KGI Asia Limited 凱基證券亞洲有限公司 RO 4 23 December 2003 28 October 2007
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 4 23 December 2003 28 October 2007
Aisance Asset Management Limited 君達資產管理有限公司 RO 2 30 June 2003 28 October 2007
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RO 2 26 June 2003 28 October 2007
KGI Asia Limited 凱基證券亞洲有限公司 RO 1 26 June 2003 28 October 2007
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 1 26 June 2003 28 October 2007
KGI Asia Limited 凱基證券亞洲有限公司 RO 7 26 June 2003 21 July 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RO 7 26 June 2003 21 July 2003
KGI Asia Limited 凱基證券亞洲有限公司 RE 9 01 April 2003 26 June 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 6 01 April 2003 26 June 2003
KGI Asia Limited 凱基證券亞洲有限公司 RE 6 01 April 2003 26 June 2003
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 01 April 2003 26 June 2003
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 5 01 April 2003 26 June 2003
KGI Asia Limited 凱基證券亞洲有限公司 RE 4 01 April 2003 26 June 2003
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 9 01 April 2003 26 June 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 7 01 April 2003 26 June 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 9 01 April 2003 26 June 2003
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 01 April 2003 26 June 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 4 01 April 2003 26 June 2003
KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 RE 1 01 April 2003 26 June 2003