Lee, Man Sik 李文軾
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-24 | Rep | Advising on securities | 2004-06-24 | Rep | Asset management | 2004-06-24 | Rep | Automated trading services | 2004-06-24 | Rep | Dealing in securities | 2004-11-20 |
| 2 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2004-06-24 | Rep | Asset management | 2004-06-24 | Rep | Dealing in futures contracts | 2004-11-20 |
| 3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-24 | Rep | Advising on securities | 2004-06-24 | Rep | Asset management | 2004-06-24 | Rep | Automated trading services | 2004-06-24 | Rep | Dealing in securities | 2004-11-20 |
| 4 | KGI ASIA LIMITED | Rep | Dealing in securities | 2004-11-25 | 2008-02-05 | RO | Dealing in securities | 2008-02-05 | 2017-10-02 | RO | Advising on securities | 2013-03-13 | 2017-10-02 | RO | Advising on securities | 2017-10-03 | RO | Dealing in securities | 2017-10-03 |
| 5 | KGI Asset Management Limited | Rep | Asset management | 2015-06-25 | 2019-10-29 | RO | Asset management | 2019-10-29 |
| 6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-11-25 | 2008-02-05 | RO | Dealing in futures contracts | 2008-02-05 | RO | Advising on futures contracts | 2012-01-03 |
| 7 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-10-22 | 2008-02-05 | RO | Dealing in securities | 2008-02-05 | 2017-10-02 |
| 8 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | RO | Dealing in securities | 2010-03-08 | 2017-10-02 |
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