SFC licenceholder ANC084 OR Lee Sa 柯莉莎

Licences

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

Institution Role Licences Start date End date
CNI Securities Group Limited 中國北方證券集團有限公司 RE 1 (Dealing in Securities) 2020-05-20
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 (Dealing in Securities) 2017-10-03 2020-02-25
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 (Dealing in Securities) 2015-07-03 2017-10-02
Corporate Brokers Limited 協聯證券有限公司 RE 1 (Dealing in Securities) 2015-04-28 2015-06-17
China Rise Securities Asset Management Company Limited 華晉證券資產管理有限公司 RE 1 (Dealing in Securities) 2014-07-14 2015-01-12
Yue Xiu Securities Company Limited 越秀証券有限公司 RE 1 (Dealing in Securities) 2013-01-21 2014-02-27
ABCI Securities Company Limited 農銀國際證券有限公司 RE 1 (Dealing in Securities) 2010-04-12 2012-07-25
Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 RE 1 (Dealing in Securities) 2009-09-07 2010-02-26
South China Securities Limited 南華證券投資有限公司 RE 1 (Dealing in Securities) 2009-06-03 2009-08-22
Emperor Securities Limited 英皇證券(香港)有限公司 RE 1 (Dealing in Securities) 2008-11-04 2009-05-05