Li (SFC:ANY454) Chen
陳李
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:ANY454) Chen (陳李), a licensed former licensee with CE reference ANY454. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-16 | 2018-03-01 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2010-12-07 | 2015-06-03 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-11-28 | 2008-09-01 |