Charles Xiaojia Li
李小加
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Xiaojia Li (李小加), a licensed former licensee with CE reference ACO556. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | present | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | present | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | present | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | present | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | present | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | present | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 7 — Providing automated trading services | present | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 9 — Asset management | present | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 9 — Asset management | present | 2003-04-28 |