SFC Licences of LEE Kar Woon, Karen 李嘉媛
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | 19 December 2020 |
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 22 December 2009 | 19 December 2020 |
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 22 December 2009 | 10 October 2016 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 10 October 2008 | 10 December 2008 |
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 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 | 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 | 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 | 2 | 16 January 2008 | 29 September 2008 |