Lee, Yik Shan 李亦山

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Advising on futures contracts	2017-06-20	2018-10-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2017-06-20	2018-10-31
	RO	Dealing in futures contracts	2017-04-07	2018-10-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2017-01-13	2018-10-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2017-01-13	2018-10-31
	Rep	Dealing in futures contracts	2016-11-21	2017-04-07
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
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
BOCI SECURITIES LIMITED	RO	Dealing in futures contracts	2012-08-09	2015-12-31
	RO	Dealing in securities	2012-08-09	2015-12-31
	Rep	Leveraged foreign exchange trading	2011-05-16	2014-11-27
	Rep	Advising on futures contracts	2005-10-19	2015-12-31
	Rep	Dealing in futures contracts	2005-10-13	2012-08-09
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Advising on futures contracts	2004-12-15	2011-01-27
BOCI SECURITIES LIMITED	Rep	Advising on securities	2004-12-15	2015-12-31
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-01-28	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-01-28	2012-08-09
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-09-02
	Rep	Asset management	-	2003-09-02
	Rep	Providing automated trading services	-	2003-09-02
	Rep	Dealing in futures contracts	-	2004-01-28
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	Providing automated trading services	-	2003-09-02
	Rep	Dealing in securities	-	2004-01-28

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Advising on futures contracts	2017-06-20	2018-10-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2017-06-20	2018-10-31
	RO	Dealing in futures contracts	2017-04-07	2018-10-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2017-01-13	2018-10-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in securities	2017-01-13	2018-10-31
	Rep	Dealing in futures contracts	2016-11-21	2017-04-07
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
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
BOCI SECURITIES LIMITED	RO	Dealing in futures contracts	2012-08-09	2015-12-31
	RO	Dealing in securities	2012-08-09	2015-12-31
	Rep	Leveraged foreign exchange trading	2011-05-16	2014-11-27
	Rep	Advising on futures contracts	2005-10-19	2015-12-31
	Rep	Dealing in futures contracts	2005-10-13	2012-08-09
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Advising on futures contracts	2004-12-15	2011-01-27
BOCI SECURITIES LIMITED	Rep	Advising on securities	2004-12-15	2015-12-31
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-01-28	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-01-28	2012-08-09
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Advising on futures contracts	-	2003-09-02
	Rep	Asset management	-	2003-09-02
	Rep	Providing automated trading services	-	2003-09-02
	Rep	Dealing in futures contracts	-	2004-01-28
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	Providing automated trading services	-	2003-09-02
	Rep	Dealing in securities	-	2004-01-28