Ester Joyse Sau Han Li
李秀嫻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ester Joyse Sau Han Li (李秀嫻), a licensed former licensee with CE reference AAV369. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-18 | 2020-11-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-05-18 | 2020-11-30 |
| Axial Capital Management Limited | RO | Type 9 — Asset management | 2017-01-10 | 2018-04-10 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-24 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-24 | 2016-01-21 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-20 | 2013-06-25 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-20 | 2013-06-25 |
| Axial Capital Management Limited | Rep | Type 9 — Asset management | 2008-10-06 | 2010-04-01 |
| Axial Capital Management Limited | Rep | Type 9 — Asset management | 2007-04-13 | 2007-10-13 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-07-10 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-07-10 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-08 |