SFC Licences of LEE Yik Shan 李亦山

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

Institution Role Licences Start date End date
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RO 5 20 June 2017 31 October 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 4 20 June 2017 31 October 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 2 07 April 2017 31 October 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 1 13 January 2017 31 October 2018
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RO 2 13 January 2017 31 October 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 2 21 November 2016 07 April 2017
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 5 01 November 2016 20 June 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 4 01 November 2016 20 June 2017
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2 01 November 2016 13 January 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 01 November 2016 13 January 2017
BOCI Securities Limited 中銀國際證券有限公司
RO 1, 2 09 August 2012 31 December 2015
BOCI Securities Limited 中銀國際證券有限公司
RE 3 16 May 2011 27 November 2014
BOCI Securities Limited 中銀國際證券有限公司
RE 5 19 October 2005 31 December 2015
BOCI Securities Limited 中銀國際證券有限公司
RE 2 13 October 2005 09 August 2012
BOCI Securities Limited 中銀國際證券有限公司
RE 4 15 December 2004 31 December 2015
BOCI Commodities & Futures Limited 中銀國際期貨有限公司
RE 5 15 December 2004 27 January 2011
BOCI Securities Limited 中銀國際證券有限公司
RE 1 28 January 2004 09 August 2012
BOCI Commodities & Futures Limited 中銀國際期貨有限公司
RE 2 28 January 2004 27 January 2011
Haitong International Futures Limited 海通國際期貨有限公司
RE 2 01 April 2003 28 January 2004
Haitong International Securities Company Limited 海通國際證券有限公司
RE 1 01 April 2003 28 January 2004
Haitong International Securities Company Limited 海通國際證券有限公司
RE 4, 6, 7, 9 01 April 2003 02 September 2003
Haitong International Futures Limited 海通國際期貨有限公司
RE 5, 7, 9 01 April 2003 02 September 2003