Shing Li
李誠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shing Li (李誠), a licensed Representative with CE reference AJT939. Currently licensed at 2 firm(s): China Merchants Securities (HK) Co., Limited, China Merchants Futures (HK) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-03-25 | present |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-03-25 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2005-03-01 | 2019-12-12 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-31 | 2021-03-15 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-12-31 | 2021-03-15 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-14 | 2004-11-10 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2004-07-14 | 2004-11-10 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-04-01 | 2004-11-10 |