SFC licenceholder ANB457 LEE Joseph Won

Licences

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

Updated: 07 July 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) 04 March 2020
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities), [7] (Providing Automated Trading Services) 04 March 2020
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 01 November 2018 04 March 2020
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 01 November 2018 04 March 2020
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 RE [1] (Dealing in Securities) 02 October 2007 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 02 October 2007 29 September 2008
Lehman Brothers Futures Asia Limited RE [2] (Dealing in Futures Contracts) 02 October 2007 29 September 2008
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 20 February 2006 15 June 2007
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 20 February 2006 15 June 2007