Lee, Godwin Yiu Kai 李耀基

Key Data Licences & registrations 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
RELIANCE INTERNATIONAL FINANCIAL PLANNERS LIMITED	RO	Advising on securities	2022-11-01	-
	RO	Asset management	2022-11-01	-
	RO	Dealing in securities	2022-11-01	-
Atherton Asset Management Limited	RO	Asset management	2020-12-22	2022-07-05
Hua Liang Asset Management Limited	RO	Advising on securities	2019-06-03	2020-10-16
	RO	Asset management	2019-06-03	2020-10-16
Hua Liang Securities Limited	RO	Advising on futures contracts	2019-06-03	2020-10-16
	RO	Advising on securities	2019-06-03	2020-10-16
	RO	Dealing in futures contracts	2019-06-03	2020-10-16
	RO	Dealing in securities	2019-06-03	2020-10-16
NNFE International Asset Management Limited	RO	Advising on securities	2018-09-04	2019-04-30
	Rep	Asset management	2018-04-12	2018-04-12
	RO	Asset management	2018-04-12	2019-04-30
Finet Securities Limited	RO	Asset management	2017-03-07	2017-06-28
Atherton Asset Management Limited	RO	Asset management	2015-09-21	2017-02-28
	Rep	Asset management	2015-02-03	2015-09-21
VisionGain Capital Limited	Rep	Advising on securities	2012-08-16	2015-02-01
	Rep	Asset management	2012-08-16	2015-02-01
CITIC Securities Brokerage (HK) Limited	Rep	Advising on securities	2011-09-05	2012-07-01
	Rep	Dealing in securities	2011-09-05	2012-07-01
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2011-09-05	2012-07-01
KGI ASIA LIMITED	Rep	Dealing in securities	2005-02-05	2011-08-23
KGI FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-02-05	2011-08-23
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2003-11-19	2004-12-14
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-11-18
	Rep	Advising on securities	2003-04-01	2003-11-18
	Rep	Asset management	2003-04-01	2003-11-18
	Rep	Providing automated trading services	2003-04-01	2003-11-18
	Rep	Dealing in securities	2003-04-01	2004-12-14
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-11-18
	Rep	Advising on securities	2003-04-01	2003-11-18
	Rep	Asset management	2003-04-01	2003-11-18
	Rep	Providing automated trading services	2003-04-01	2003-11-18
	Rep	Dealing in securities	2003-04-01	2004-12-14

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.