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LEE Man Sik

李文軾
CE ABZ888Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Man Sik (CE number ABZ888) 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 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerKGI Asia Limited
凱基證券亞洲有限公司
Responsible OfficerKGI Asset Management Limited
凱基資產管理有限公司
Responsible OfficerKGI Futures (Hong Kong) Limited
凱基期貨(香港)有限公司

Licence Record (13)

2019-10-29 – present Current
KGI Asset Management Limited RO
RA 9
2017-10-03 – present Current
KGI Asia Limited RO
RA 1 RA 4
2008-02-05 – present Current
KGI Futures (Hong Kong) Limited RO
RA 2 RA 5
2015-06-25 – 2019-10-29
KGI Asset Management Limited Rep
RA 9
2010-03-08 – 2017-10-02
KGI Wealth Management Limited RO
RA 1
2008-02-05 – 2017-10-02
KGI Asia Limited RO
RA 1 RA 4
2008-02-05 – 2017-10-02
KGI Securities (Hong Kong) Limited RO
RA 1
2007-10-22 – 2008-02-05
KGI Securities (Hong Kong) Limited Rep
RA 1
2004-11-25 – 2008-02-05
KGI Asia Limited Rep
RA 1
2004-11-25 – 2008-02-05
KGI Futures (Hong Kong) Limited Rep
RA 2
2003-04-01 – 2004-11-20
Core Pacific - Yamaichi International (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2004-11-20
Core Pacific-Yamaichi Securities (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2004-11-20
Core Pacific-Yamaichi Futures (H.K.) Limited Rep
RA 2 RA 5 RA 9

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/ABZ888