SFC licenceholder AOJ012 LEE Kai Yang 李凱揚

Licences

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

Updated: 07 August 2020

Institution Role Licences Start date End date
CMB International Securities Limited 招銀國際證券有限公司 RE [1] (Dealing in Securities) 24 January 2018
CMB International Asset Management Limited 招銀國際資產管理有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 24 January 2018
RHB Asset Management Limited 興業金融資產管理有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) 24 March 2017 24 December 2017
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE [1] (Dealing in Securities) 04 June 2008 28 August 2014
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE [4] (Advising on Securities) 20 April 2007 28 August 2014
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE [5] (Advising on Futures Contracts), [9] (Asset Management) 23 December 2006 28 August 2014