Zhan Li
李湛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhan Li (李湛), a licensed Responsible Officer with CE reference AZX297. Currently licensed at 1 firm(s): CSII Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CSII Capital Limited 川國投資本有限公司 |
RO | Type 4 — Advising on securities | 2023-03-08 | present |
| CSII Capital Limited 川國投資本有限公司 |
RO | Type 9 — Asset management | 2023-03-08 | present |
| China Vered Securities Limited 中薇證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-13 | 2023-02-01 |
| China Vered Securities Limited 中薇證券有限公司 |
RO | Type 4 — Advising on securities | 2021-09-13 | 2023-02-01 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-03-20 | 2021-09-13 |
| China Vered Asset Management (Hong Kong) Limited 中薇資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2018-03-20 | 2023-02-01 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-03-13 | 2021-09-13 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-08 | 2017-10-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-24 | 2012-09-13 |