Lee, Yik Shan 李亦山

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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 BOCI COMMODITIES & FUTURES LIMITED Rep Dealing in futures contracts 2004-01-28 2011-01-27
Rep Advising on futures contracts 2004-12-15 2011-01-27
2 BOCI SECURITIES LIMITED Rep Dealing in securities 2004-01-28 2012-08-09
Rep Advising on securities 2004-12-15 2015-12-31
Rep Dealing in futures contracts 2005-10-13 2012-08-09
Rep Advising on futures contracts 2005-10-19 2015-12-31
Rep Leveraged foreign exchange trading 2011-05-16 2014-11-27
RO Dealing in futures contracts 2012-08-09 2015-12-31
RO Dealing in securities 2012-08-09 2015-12-31
3 CHINA MERCHANTS FUTURES (HK) CO., LIMITED Rep Dealing in futures contracts 2016-11-01 2017-01-13
Rep Advising on futures contracts 2016-11-01 2017-06-20
RO Dealing in futures contracts 2017-01-13 2018-10-31
RO Advising on futures contracts 2017-06-20 2018-10-31
4 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Dealing in securities 2016-11-01 2017-01-13
Rep Advising on securities 2016-11-01 2017-06-20
Rep Dealing in futures contracts 2016-11-21 2017-04-07
RO Dealing in securities 2017-01-13 2018-10-31
RO Dealing in futures contracts 2017-04-07 2018-10-31
RO Advising on securities 2017-06-20 2018-10-31
5 HAITONG INTERNATIONAL FUTURES LIMITED Rep Advising on futures contracts 2003-09-02
Rep Asset management 2003-09-02
Rep Automated trading services 2003-09-02
Rep Dealing in futures contracts 2004-01-28
6 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Advising on corporate finance 2003-09-02
Rep Advising on securities 2003-09-02
Rep Asset management 2003-09-02
Rep Automated trading services 2003-09-02
Rep Dealing in securities 2004-01-28

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