Sung Tat Li
李崇達
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sung Tat Li (李崇達), a licensed Responsible Officer with CE reference AUN103. Currently licensed at 2 firm(s): Shenwan Hongyuan Capital (H.K.) Limited, Shenwan Hongyuan Securities (H.K.) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2024-02-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2024-02-23 | present |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2024-02-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-08-31 | 2024-02-23 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-08-31 | 2024-02-23 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-03-07 | 2023-06-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-12-16 | 2023-06-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-11-05 | 2022-03-07 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 — Dealing in securities | 2021-08-12 | 2021-10-12 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-08-12 | 2021-10-12 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-18 | 2021-07-30 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-06-18 | 2021-07-30 |
| CMBC International Capital Limited 民銀資本有限公司 |
RO | Type 1 — Dealing in securities | 2018-10-31 | 2019-05-26 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-11 | 2019-05-26 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-11 | 2018-10-31 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-11 | 2019-05-26 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-22 | 2018-05-21 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-22 | 2018-05-21 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-07-22 | 2018-05-21 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-25 | 2014-07-04 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-12 | 2010-03-19 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-02-12 | 2010-03-19 |