Charles Sai Yiu Li
李世耀
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Sai Yiu Li (李世耀), a licensed Responsible Officer with CE reference AFN641. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 23.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2022-09-23 | 2023-03-20 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-02-01 | 2016-02-16 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-03-04 | 2016-01-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-02-08 | 2016-02-16 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2006-08-09 | 2009-08-01 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 — Advising on securities | 2006-07-06 | 2009-08-01 |
| TC Investment Management (Asia) Limited 同創投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2003-11-03 | 2006-06-23 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-01 |