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LEE Shiu Ki

李紹祺
CE AWC496Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Shiu Ki (CE number AWC496) is an individual licensed by the Hong Kong SFC. First licensed on 2010-10-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerAmoeba Capital Advisors Limited
米亞資本顧問有限公司

Licence Record (8)

2020-09-28 – present Current
Amoeba Capital Advisors Limited RO
RA 9
2020-03-02 – 2020-06-15
Finet Securities Limited RO
RA 4 RA 9
2019-04-08 – 2019-10-31
Amto Capital Management Limited RO
RA 9
2018-11-16 – 2019-04-08
Amto Capital Management Limited Rep
RA 9
2017-07-25 – 2018-08-15
Kaisa Asset Management Limited Rep
RA 4 RA 9
2013-02-01 – 2017-01-27
C.P. Financial Management Limited Rep
RA 9
2011-06-23 – 2012-09-30
Bright Smart Futures & Commodities Company Limited Rep
RA 2
2010-10-19 – 2012-09-30
Bright Smart Securities International (H.K.) Limited Rep
RA 1

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/AWC496