Shuo Li
李碩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuo Li (李碩), a licensed Responsible Officer with CE reference BCY584. Currently licensed at 2 firm(s): Goldhorse Capital Management (HK) Limited, Goldhorse Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldhorse Capital Management (HK) Limited 金馬資本管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-12-03 | present |
| Goldhorse Capital Management (HK) Limited 金馬資本管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-12-03 | present |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-09-30 | present |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 4 — Advising on securities | 2025-09-30 | present |
| Gentleman Capital Limited 紳士資本有限公司 |
RO | Type 9 — Asset management | 2025-09-30 | 2025-10-17 |
| Goldhorse Securities Limited 金馬證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-08-27 | 2025-09-30 |
| Goldhorse Securities Limited 金馬證券有限公司 |
Rep | Type 4 — Advising on securities | 2025-08-27 | 2025-09-30 |
| Gentleman Capital Limited 紳士資本有限公司 |
Rep | Type 9 — Asset management | 2025-08-27 | 2025-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2025-02-17 | 2025-05-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-20 | 2025-05-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-09-20 | 2025-05-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-09-20 | 2025-05-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2021-07-07 | 2025-05-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-06-17 | 2021-09-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-06-17 | 2021-09-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-06-17 | 2021-09-20 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2020-09-22 | 2021-04-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-29 | 2021-04-30 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-06 | 2020-07-29 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-03-06 | 2021-04-30 |