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LEE Shu Yan, Andrew

李樹仁
CE AFP239Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Shu Yan, Andrew (CE number AFP239) 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 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (6)

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 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerChina Harbour International Asset Management Limited
中灣國際資產管理有限公司
Responsible OfficerChina Harbour International Securities Limited
中灣國際證券有限公司

Licence Record (17)

2026-01-09 – present Current
China Harbour International Securities Limited RO
RA 1
2026-01-09 – present Current
China Harbour International Asset Management Limited RO
RA 4 RA 9
2025-11-25 – 2026-01-09
China Harbour International Securities Limited Rep
RA 1
2025-11-25 – 2026-01-09
China Harbour International Asset Management Limited Rep
RA 4 RA 9
2024-12-06 – 2025-09-15
Bitfire Asset Management (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2024-10-16 – 2024-12-06
Bitfire Asset Management (Hong Kong) Limited Rep
RA 9
2023-09-07 – 2024-06-30
HC Securities (HK) Limited RO
RA 1 RA 4 RA 9
2022-11-14 – 2023-03-13
Macrowaters Asia Fund Management Limited RO
RA 9
2016-10-26 – 2022-05-01
Eurizon Capital Asia Limited RO
RA 1 RA 4 RA 9
2013-08-21 – 2014-05-10
ABCI Asset Management Limited RO
RA 4 RA 9
2013-07-29 – 2013-08-21
ABCI Asset Management Limited Rep
RA 9
2011-09-26 – 2013-06-10
Guosen Securities (HK) Asset Management Company Limited Rep
RA 4 RA 9
2010-09-20 – 2011-08-24
HSBC Global Asset Management (Hong Kong) Limited RO
RA 1 RA 2 RA 4 RA 5 RA 9
2007-03-08 – 2011-08-24
Halbis Capital Management (Hong Kong) Limited RO
RA 1 RA 2 RA 4 RA 5 RA 9
2005-07-15 – 2007-03-08
Halbis Capital Management (Hong Kong) Limited Rep
RA 4 RA 9
2005-01-06 – 2010-10-28
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 5 RA 9
2003-04-01 – 2004-11-30
AXA Rosenberg Investment Management Asia Pacific Limited (trading as AXA Rosenberg Asia Pacific; AXA Investment Managers) Rep
RA 4 RA 6 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/AFP239