Li (SFC:AMF794) Li
李莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:AMF794) Li (李莉), a licensed former licensee with CE reference AMF794. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-10 | 2023-12-22 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-01-10 | 2023-12-22 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-18 | 2019-01-10 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-10-18 | 2019-01-10 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-25 | 2018-10-04 |
| BOSC International Company Limited 上銀國際有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-11-25 | 2018-10-04 |
| BOSC International Company Limited 上銀國際有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-20 | 2016-11-25 |
| BOSC International Company Limited 上銀國際有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-01-20 | 2016-11-25 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-19 | 2014-10-31 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-09-19 | 2014-10-31 |
| Quam Capital Limited 華富建業企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-11-20 | 2013-05-01 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-26 | 2012-10-26 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-02-26 | 2012-10-26 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-19 | 2008-02-23 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-11-19 | 2008-02-23 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-10-05 | 2007-09-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-21 | 2007-09-30 |