SFC Licences of LEE Hoo Wan, Owen 李浩雲
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 29 November 2022 | |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 09 November 2020 | 14 November 2022 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RO | 1 | 04 February 2020 | 14 November 2022 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RO | 2 | 04 February 2020 | 09 November 2020 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 12 November 2019 | 04 February 2020 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 12 November 2019 | 04 February 2020 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 12 September 2016 | 04 April 2019 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 12 September 2016 | 04 April 2019 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 2 | 11 May 2010 | 21 January 2016 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 13 March 2007 | 21 January 2016 |