SFC Licences of WALLACE Lee Peter
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| HSBC Structured Funds (Asia) Limited |
RO | 4 | 23 March 2007 | 01 August 2007 |
| HSBC Securities (Asia) Limited HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | 1 | 16 May 2006 | 18 November 2008 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 HSBC Securities (Asia) Limited |
RE | 1 | 20 July 2005 | 16 May 2006 |
| Instinet Pacific Limited 極訊亞太有限公司 Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | 4, 7 | 02 September 2004 | 18 June 2005 |
| Instinet Alpha Trading Limited 極訊香港有限公司 Instinet Pacific Limited 極訊亞太有限公司 |
RO | 1 | 01 April 2003 | 18 June 2005 |
| Instinet Pacific Limited 極訊亞太有限公司 Instinet Alpha Trading Limited 極訊香港有限公司 |
RO | 7 | 01 April 2003 | 03 November 2003 |