SFC Licences of LEE Nicholas Kong Tze 李光祖
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | RE | 2 | 01 August 2014 | 31 August 2020 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 01 August 2014 | 31 August 2020 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 2 | 30 May 2013 | 10 June 2014 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 13 October 2010 | 10 June 2014 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 13 October 2010 | 31 August 2013 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 13 October 2010 | 31 August 2013 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 21 March 2007 | 22 October 2008 |
| Merrill Lynch Far East Limited | RE | 1 | 19 April 2006 | 22 October 2008 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 19 April 2006 | 22 October 2008 |