SFC Licences of LEE Lok Man, Carol 李樂雯
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| JVSakk Asset Management Limited 匯通永利資產管理有限公司 | RE | 9 | 15 June 2012 | 07 February 2014 |
| First Shanghai Futures Limited 第一上海期貨有限公司 | RE | 2 | 26 April 2010 | 27 April 2012 |
| First Shanghai Securities Limited 第一上海證券有限公司 | RE | 1 | 26 April 2010 | 27 April 2012 |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 3 | 18 June 2009 | 05 March 2010 |
| Haitong International Futures Limited 海通國際期貨有限公司 | RE | 2 | 30 April 2009 | 05 March 2010 |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 1 | 30 April 2009 | 05 March 2010 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 17 January 2008 | 07 March 2009 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 14 December 2007 | 07 March 2009 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 14 December 2007 | 07 March 2009 |