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LEE Tsz Man

李子文
CE BAF948Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LEE Tsz Man (CE number BAF948) is an individual licensed by the Hong Kong SFC. First licensed on 2012-09-25. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management), Type 10 (Credit rating). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerRAM Investment Advisors Limited
譽信投資管理有限公司

Licence Record (8)

2024-10-07 – present Current
RAM Investment Advisors Limited RO
RA 1 RA 4 RA 9
2024-05-13 – 2024-10-07
RAM Investment Advisors Limited Rep
RA 1 RA 4 RA 9
2023-05-04 – 2023-12-12
Avenue Investment Management Limited RO
RA 1 RA 4 RA 9
2022-10-05 – 2024-02-29
Avenue Investment Management Limited Rep
RA 1 RA 4 RA 9
2021-07-05 – 2022-09-17
VMS Asset Management Limited Rep
RA 4 RA 9
2017-11-16 – 2021-06-04
Harvest Global Investments Limited Rep
RA 4 RA 9
2012-12-28 – 2017-10-27
Moody's Investors Service Hong Kong Limited Rep
RA 10
2012-09-25 – 2012-12-19
Daiwa Capital Markets Hong Kong Limited Rep
RA 4

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/BAF948