SFC licenceholder AQI268 LEE Kar Woon, Karen 李嘉媛

Licences

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

Updated: 09 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 22 December 2009
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 22 December 2009 10 October 2016
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 10 October 2008 10 December 2008
Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 RE [1] (Dealing in Securities) 16 January 2008 29 September 2008
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 16 January 2008 29 September 2008