Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LEE Shu Fan

李樹勳
CE AVZ082Licensed IndividualSFO licence active
Official SFC record

LEE Shu Fan (CE number AVZ082) is an individual licensed by the Hong Kong SFC. First licensed on 2010-09-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeGuotai Junan Futures (Hong Kong) Limited
國泰君安期貨(香港)有限公司
RepresentativeGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (7)

2017-01-17 – present Current
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1
2017-01-17 – present Current
Guotai Junan Futures (Hong Kong) Limited Rep
RA 2
2017-01-17 – 2017-09-11
Guotai Junan FX Limited Rep
RA 3
2012-04-02 – 2016-12-10
KGI Asia Limited Rep
RA 1
2012-04-02 – 2016-12-10
KGI Futures (Hong Kong) Limited Rep
RA 2
2010-09-30 – 2011-11-30
Citigroup Global Markets Asia Limited Rep
RA 1
2010-09-30 – 2011-11-30
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 1 RA 2

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/AVZ082