SFC Licences of LEE Siu Ming 李小明
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Natixis Asia Limited | RE | 4 | 22 August 2022 | |
| Natixis Asia Limited | RE | 1 | 22 August 2022 | |
| BOCI Asia Limited 中銀國際亞洲有限公司 | RE | 6 | 15 May 2009 | 17 February 2016 |
| BOCI Asia Limited 中銀國際亞洲有限公司 | RE | 1 | 15 May 2009 | 17 February 2016 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 6 | 03 September 2007 | 20 June 2008 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 03 September 2007 | 20 June 2008 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 | RE | 6 | 07 July 2004 | 19 May 2006 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 | RE | 6 | 12 November 2003 | 07 July 2004 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 | RE | 6 | 13 August 2003 | 22 October 2003 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 | RE | 6 | 01 April 2003 | 23 July 2003 |