Vivian Shuk Wa Li
李淑華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vivian Shuk Wa Li (李淑華), a licensed Responsible Officer with CE reference ANY054. Currently licensed at 1 firm(s): HC International Asset Management Co., Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HC International Asset Management Co., Limited 中珩國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-06-05 | present |
| HC International Asset Management Co., Limited 中珩國際資產管理有限公司 |
RO | Type 9 — Asset management | 2019-07-08 | present |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 9 — Asset management | 2018-08-02 | 2019-06-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 9 — Asset management | 2017-02-06 | 2018-08-02 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-28 | 2019-06-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 4 — Advising on securities | 2015-07-28 | 2019-06-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-06 | 2015-07-28 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-06 | 2015-07-28 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-09 | 2015-02-05 |
| iBest Consultants Limited | Rep | Type 1 — Dealing in securities | 2014-06-09 | 2015-02-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-09 | 2015-02-05 |
| iBest Consultants Limited | Rep | Type 4 — Advising on securities | 2014-06-09 | 2015-02-05 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-13 | 2009-05-16 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-09-13 | 2009-05-16 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-09-13 | 2009-05-16 |