Dan (SFC:BJJ371) Li
李丹
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dan (SFC:BJJ371) Li (李丹), a licensed Responsible Officer with CE reference BJJ371. Currently licensed at 1 firm(s): ICBC UBS Asset Management (International) Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 5.
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 |
|---|---|---|---|---|
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
RO | Type 1 — Dealing in securities | 2023-02-27 | present |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
RO | Type 4 — Advising on securities | 2018-01-18 | present |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
RO | Type 9 — Asset management | 2018-01-18 | present |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 4 — Advising on securities | 2017-04-07 | 2018-01-18 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 9 — Asset management | 2017-04-07 | 2018-01-18 |