James Kong Li
李剛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kong Li (李剛), a licensed Responsible Officer with CE reference AFT405. Currently licensed at 1 firm(s): Baillie Gifford Asia (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-31 | present |
| Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-07-31 | 2024-06-20 |
| Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-31 | 2020-07-31 |
| Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-03-31 | 2020-07-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-10-31 | 2019-12-09 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2017-10-31 | 2019-12-09 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-11-18 | 2017-10-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-14 | 2019-12-09 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2014-10-14 | 2019-12-09 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-04 | 2014-10-14 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2014-07-04 | 2014-10-14 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-07-04 | 2017-10-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2014-07-04 | 2019-12-09 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-01-17 | 2014-06-14 |
| First Sentier Investors (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-01-13 | 2014-06-14 |
| First State (Hong Kong) LLC | Rep | Type 4 — Advising on securities | 2006-01-13 | 2007-07-05 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-06-02 | 2005-12-17 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-06-02 | 2005-12-17 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-04-14 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-04-14 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-04-14 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-04-14 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 9 — Asset management | present | 2003-04-14 |