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LEE Yee Yan

李綺恩
CE ABC751Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Yee Yan (CE number ABC751) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerKingsway Financial Services Group Limited
滙富金融服務有限公司

Licence Record (5)

2005-06-21 – present Current
Kingsway Financial Services Group Limited RO
RA 1 RA 2
2005-04-20 – 2005-11-30
Sunwah Kingsway Futures Limited Rep
RA 2
2005-04-14 – 2005-06-21
Kingsway Financial Services Group Limited Rep
RA 1 RA 2
2003-08-13 – 2004-07-14
Yuanta Asia Investment (Hong Kong) Limited RO
RA 1 RA 2 RA 5
2003-04-01 – 2005-04-09
Polaris Capital (Asia) Limited Rep
RA 1 RA 6

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABC751