Liwen Li
李立雯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Liwen Li (李立雯), a licensed former licensee with CE reference AZV309. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-05-03 | 2021-06-25 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2021-05-03 | 2021-06-25 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-05-03 | 2021-06-25 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-11-28 | 2020-03-16 |
| Haitong International Capital (HK) Limited 海通國際融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-11-28 | 2019-11-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-09-24 | 2020-03-16 |
| ICBC Asset Management (Global) Company Limited 工銀資管(全球)有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-19 | 2018-06-01 |
| ICBC Asset Management (Global) Company Limited 工銀資管(全球)有限公司 |
Rep | Type 9 — Asset management | 2017-06-19 | 2018-06-01 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-17 | 2014-07-16 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-17 | 2014-07-16 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-07-04 | 2014-07-16 |