Xiaozhou Li
李小舟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaozhou Li (李小舟), a licensed Responsible Officer with CE reference AXL142. Currently licensed at 1 firm(s): Marlin Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 14.
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 |
|---|---|---|---|---|
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 1 — Dealing in securities | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 4 — Advising on securities | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 9 — Asset management | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 1 — Dealing in securities | 2025-07-08 | 2025-07-30 |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 4 — Advising on securities | 2025-07-08 | 2025-07-30 |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 9 — Asset management | 2025-07-08 | 2025-07-30 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-06-01 | 2022-12-14 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2022-06-01 | 2022-12-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-20 | 2011-08-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2011-06-20 | 2011-08-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-06-20 | 2011-08-10 |