Lee, Sze Wan (SFC:AKS933) 李詩韻

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
Ping An of China Capital (Hong Kong) Company Limited	RO	Advising on corporate finance	2026-03-25	-
PING AN SECURITIES (HONG KONG) COMPANY LIMITED	RO	Advising on securities	2026-03-25	-
	RO	Dealing in securities	2026-03-25	-
Ping An of China Capital (Hong Kong) Company Limited	Rep	Advising on corporate finance	2026-01-27	2026-03-25
PING AN SECURITIES (HONG KONG) COMPANY LIMITED	Rep	Advising on securities	2026-01-27	2026-03-25
	Rep	Dealing in securities	2026-01-27	2026-03-25
China Galaxy International Securities (Hong Kong) Co., Limited	RO	Advising on corporate finance	2014-11-24	2025-08-31
	RO	Advising on securities	2014-11-24	2025-08-31
	RO	Dealing in securities	2014-11-24	2025-08-31
	Rep	Advising on corporate finance	2014-09-30	2014-11-24
	Rep	Advising on securities	2014-09-30	2014-11-24
	Rep	Dealing in securities	2014-09-30	2014-11-24
FRONTIER CAPITAL INVESTMENT LIMITED	RO	Advising on corporate finance	2014-08-18	2014-08-31
	RO	Advising on securities	2014-08-18	2014-08-31
	RO	Dealing in securities	2014-08-18	2014-08-31
	Rep	Advising on corporate finance	2014-07-15	2014-08-18
	Rep	Advising on securities	2014-07-15	2014-08-18
	Rep	Dealing in securities	2014-07-15	2014-08-18
DBS ASIA CAPITAL LIMITED	RO	Advising on corporate finance	2011-11-02	2014-06-18
	RO	Advising on securities	2011-11-02	2014-06-18
	RO	Dealing in securities	2011-11-02	2014-06-18
	Rep	Advising on corporate finance	2011-10-12	2011-11-02
	Rep	Advising on securities	2011-10-12	2011-11-02
	Rep	Dealing in securities	2011-10-12	2011-11-02
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2006-09-27	2011-09-20
	Rep	Advising on corporate finance	2006-09-25	2011-09-20
HAITONG INTERNATIONAL CAPITAL LIMITED	Rep	Advising on corporate finance	2004-08-06	2006-09-15

HKMA registrations

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

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