Yuna Li
李宇娜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuna Li (李宇娜), a licensed former licensee with CE reference AYZ338. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2023-10-26 | 2024-06-30 |
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
Rep | Type 5 — Advising on futures contracts | 2023-10-26 | 2024-06-30 |
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
Rep | Type 9 — Asset management | 2023-10-26 | 2024-06-30 |
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
RO | Type 4 — Advising on securities | 2019-07-19 | 2023-10-26 |
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-07-19 | 2023-10-26 |
| Legend Arb Advisors Limited 利臻投資顧問有限公司 |
RO | Type 9 — Asset management | 2017-08-29 | 2023-10-26 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2016-12-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | 2014-08-29 | 2016-12-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2014-07-10 | 2016-12-31 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-07-10 | 2016-10-10 |
| True Partner Advisor Hong Kong Limited | Rep | Type 9 — Asset management | 2012-03-13 | 2014-06-25 |