Li (SFC:AME120) Xu
許莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:AME120) Xu (許莉), a licensed former licensee with CE reference AME120. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-08-21 | 2010-11-09 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-07-04 | 2010-11-09 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2007-12-21 | 2010-11-09 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2007-12-21 | 2010-11-09 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
RO | Type 1 — Dealing in securities | 2005-08-22 | 2007-10-25 |