Baohua Li
李保華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Baohua Li (李保華), a licensed former licensee with CE reference BJU349. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-11-17 | 2026-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-11-17 | 2026-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 — Asset management | 2022-11-17 | 2026-03-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-08-01 | 2022-11-17 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-08-01 | 2022-11-17 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2022-08-01 | 2022-11-17 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-27 | 2022-04-30 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-09-27 | 2022-04-30 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2019-09-27 | 2022-04-30 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2019-04-23 | 2019-09-27 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-27 | 2019-09-27 |
| BOCOM International Asset Management Limited 交銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-03-27 | 2019-09-27 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-01-15 | 2019-03-08 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2019-01-15 | 2019-03-08 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-29 | 2019-01-15 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2018-10-29 | 2019-01-15 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-03-06 | 2018-07-27 |
| XinKong International Asset Management Limited 信控國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-03-06 | 2018-07-27 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-21 | 2017-10-16 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-21 | 2017-10-16 |
| XinKong International Asset Management Limited 信控國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-06-21 | 2017-10-16 |