Lee, Carol Jungeun
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 | CITIC CLSA Capital Partners HK Limited | Rep | Advising on securities | 2017-06-20 | Rep | Asset management | 2017-06-20 | Rep | Dealing in securities | 2025-09-29 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2017-10-31 | |
| 3 | HENDERSON GLOBAL INVESTORS (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-07-21 | 2007-11-13 | Rep | Advising on securities | 2006-09-15 | 2007-11-13 | RO | Advising on securities | 2007-11-13 | 2009-03-07 | RO | Dealing in securities | 2007-11-13 | 2009-03-07 |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Automated trading services | 2005-03-23 | Rep | Dealing in securities | 2006-07-01 |
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