SFC Licences of KIM Jason Lee

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

Institution Role Licences Start date End date
Merrill Lynch (Asia Pacific) Limited RE 1 08 September 2022
Merrill Lynch Far East Limited RE 2 19 July 2022
Merrill Lynch Far East Limited RE 1 04 July 2022
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RE 1 14 November 2019 02 April 2022
CLSA Limited 中信里昂證券有限公司 RO 1 27 September 2018 16 July 2019
CLSA Limited 中信里昂證券有限公司 RE 1 28 July 2017 27 September 2018
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RO 2 08 September 2016 24 April 2017
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RO 1 08 September 2016 24 April 2017
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 2 05 February 2016 08 September 2016
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 1 05 February 2016 08 September 2016
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 2 21 January 2014 27 October 2015
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 21 January 2014 27 October 2015
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE 1 27 April 2012 10 August 2013
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE 2 06 February 2008 10 August 2013
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 1 06 February 2008 10 August 2013