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LEE Wai Tsang, Rosa

李惟琤
CE AIZ436Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Wai Tsang, Rosa (CE number AIZ436) is an individual licensed by the Hong Kong SFC. First licensed on 2004-08-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerXin Yongan International Asset Management Company Limited
新永安國際資產管理有限公司
Responsible OfficerXin Yongan International Securities Company Limited
新永安國際證券有限公司

Licence Record (5)

2024-01-05 – present Current
Xin Yongan International Securities Company Limited RO
RA 1
2024-01-05 – present Current
Xin Yongan International Asset Management Company Limited RO
RA 4 RA 9
2019-10-10 – 2024-01-04
Grand Capital Securities Limited RO
RA 1 RA 4 RA 9
2019-02-04 – 2019-10-08
Zeta Capital (H.K.) Limited RO
RA 4 RA 9
2004-08-12 – 2019-01-18
Ark Securities (Hong Kong) Limited Rep
RA 1 RA 4 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/AIZ436