SFC Licences of LEE Shu Fan 李樹勳
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Guotai Junan FX Limited 國泰君安外匯有限公司 | RE | 3 | 17 January 2017 | 11 September 2017 |
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 | RE | 2 | 17 January 2017 | |
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 1 | 17 January 2017 | |
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 02 April 2012 | 10 December 2016 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 02 April 2012 | 10 December 2016 |
Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 30 September 2010 | 30 November 2011 |
Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 30 September 2010 | 30 November 2011 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 30 September 2010 | 30 November 2011 |