Ying Li
李鷹
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ying Li (李鷹), a licensed Responsible Officer with CE reference AUG645. Currently licensed at 1 firm(s): Alpha Win Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 18.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-20 | present |
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 4 — Advising on securities | 2020-07-20 | present |
| Alpha Win Capital Limited 中源國際資本有限公司 |
RO | Type 9 — Asset management | 2020-07-20 | present |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2018-05-03 | 2019-11-05 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2015-04-30 | 2019-11-05 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-04-30 | 2019-11-05 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2015-04-30 | 2019-11-05 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-04-30 | 2019-11-05 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-09 | 2015-04-30 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-09 | 2015-04-30 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-09 | 2015-04-30 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-02-09 | 2015-04-30 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-02-09 | 2018-05-03 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2013-09-04 | 2014-12-01 |
| ICBC International Research Limited 工銀國際證券研究有限公司 |
RO | Type 4 — Advising on securities | 2012-09-25 | 2014-12-01 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-24 | 2014-12-01 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-24 | 2012-08-24 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-08-24 | 2012-08-24 |