Siu Kim Li
李紹劍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Kim Li (李紹劍), a licensed Responsible Officer with CE reference AFW899. Currently licensed at 1 firm(s): DTC Investment Management (HK) Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DTC Investment Management (HK) Limited 東亭資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2021-06-03 | present |
| DTC Investment Management (HK) Limited 東亭資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2021-03-01 | 2021-06-03 |
| Springboard Capital Limited 思博資本有限公司 |
RO | Type 4 — Advising on securities | 2014-04-08 | 2020-04-30 |
| Springboard Capital Limited 思博資本有限公司 |
RO | Type 9 — Asset management | 2012-06-14 | 2020-04-30 |
| Springboard Capital Limited 思博資本有限公司 |
Rep | Type 4 — Advising on securities | 2012-06-01 | 2014-04-08 |
| Springboard Capital Limited 思博資本有限公司 |
Rep | Type 9 — Asset management | 2012-06-01 | 2012-06-14 |
| Boyer Allan Investment Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-02-22 | 2012-02-07 |
| Boyer Allan Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-01-04 | 2011-02-22 |
| SUN Partners Investment Management Limited 恆昇投資管理有限公司 |
Rep | Type 9 — Asset management | 2009-01-20 | 2010-03-31 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2008-02-11 | 2008-11-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-06-03 | 2008-11-07 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2003-06-03 | 2008-11-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2003-06-03 | 2008-11-07 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2003-06-03 | 2008-11-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-31 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-05-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-31 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-05-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-31 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |