SFC Licences of LEE Yiu Chung, Alan 李耀宗

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

Institution Role Licences Start date End date
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RO 6 09 April 2018 31 May 2023
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RO 1 09 April 2018 31 May 2023
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RE 6 20 September 2017 09 April 2018
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RE 1 20 September 2017 09 April 2018
Yi Shun Da Capital Limited 易順達融資有限公司 RO 6 15 March 2016 10 September 2017
Yi Shun Da Capital Limited 易順達融資有限公司 RO 1 15 March 2016 10 September 2017
Yi Shun Da Capital Limited 易順達融資有限公司 RE 6 09 March 2016 15 March 2016
Yi Shun Da Capital Limited 易順達融資有限公司 RE 1 09 March 2016 15 March 2016
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RO 6 30 October 2014 19 February 2016
Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 RO 1 30 October 2014 19 February 2016
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RO 6 20 September 2012 12 June 2014
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RO 1 20 September 2012 12 June 2014
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RE 6 16 May 2011 20 September 2012
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 RE 1 16 May 2011 20 September 2012
Beijing Securities Limited 北京證券有限公司 RE 6 15 March 2010 15 May 2011
Beijing Securities Limited 北京證券有限公司 RE 4 15 March 2010 15 May 2011
Beijing Securities Limited 北京證券有限公司 RE 1 15 March 2010 15 May 2011
Neutral Financial Holding Company Limited 中和金控有限公司 RE 6 22 September 2006 26 February 2010
Neutral Financial Holding Company Limited 中和金控有限公司 RE 4 22 September 2006 26 February 2010
Neutral Financial Holding Company Limited 中和金控有限公司 RE 1 22 September 2006 26 February 2010