SFC Licences of LEE King Wai, Karen 李荊慧
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RE | 7 | 19 December 2016 | 10 July 2018 |
| UBS Securities Hong Kong Limited | RE | 1 | 19 December 2016 | 10 July 2018 |
| UBS Securities Hong Kong Limited | RE | 7 | 09 December 2011 | 18 December 2016 |
| UBS Securities Asia Limited | RE | 2 | 20 May 2010 | 10 July 2018 |
| UBS Securities Asia Limited | RE | 1 | 20 May 2010 | 10 July 2018 |
| UBS Securities Hong Kong Limited | RE | 1 | 20 May 2010 | 18 December 2016 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 24 June 2008 | 24 February 2010 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 24 June 2008 | 24 February 2010 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 05 June 2008 | 24 February 2010 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 05 June 2008 | 24 February 2010 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 2 | 27 November 2006 | 23 November 2009 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 1 | 01 February 2006 | 23 November 2009 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 | RE | 1 | 05 December 2005 | 24 January 2006 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 28 April 2004 | 02 September 2004 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 28 April 2004 | 02 September 2004 |