Lap Sun Li
李立新
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lap Sun Li (李立新), a licensed Responsible Officer with CE reference ABH763. Currently licensed at 1 firm(s): Innovax Asset Management Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovax Asset Management Limited 創陞資產管理有限公司 |
RO | Type 9 — Asset management | 2017-04-13 | present |
| Funde Investment Management Limited 富德投資管理有限公司 |
RO | Type 9 — Asset management | 2007-06-14 | 2017-03-21 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2004-10-11 | 2007-03-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2004-09-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2004-09-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-09-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2004-09-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2004-09-21 |