Shan Li
李山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shan Li (李山), a licensed former licensee with CE reference ACN141. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Silk Road Finance Asia Limited |
RO | Type 9 — Asset management | 2017-06-02 | 2019-06-06 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2004-11-03 | 2005-11-01 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-11-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-11-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-01-12 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-11-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-01-12 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 9 — Asset management | present | 2004-01-12 |