Li, Hetty Siu Chong 李小莊
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CES Commodities (HK) Limited | Rep | Advising on futures contracts | 2003-11-17 | Rep | Asset management | 2003-11-17 | Rep | Dealing in futures contracts | 2004-03-10 |
| 2 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2004-03-10 | |
| 3 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2004-03-23 | 2004-03-30 |
| 4 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2004-03-23 | 2004-03-30 |
| 5 | Everbright Securities Digital Finance (HK) Limited | Rep | Advising on corporate finance | 2003-11-17 | Rep | Advising on securities | 2003-11-17 | Rep | Asset management | 2003-11-17 | Rep | Automated trading services | 2003-11-17 | Rep | Dealing in securities | 2004-03-10 |
| 6 | Everbright Securities Investment Services (HK) Limited | Rep | Automated trading services | 2003-07-07 | Rep | Advising on corporate finance | 2003-11-17 | Rep | Advising on securities | 2003-11-17 | Rep | Asset management | 2003-11-17 | Rep | Dealing in securities | 2004-03-10 |
| 7 | RBC FUTURES SERVICES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2004-04-02 | 2004-07-20 |
| 8 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Dealing in securities | 2004-04-02 | 2004-07-20 | Rep | Advising on securities | 2004-04-30 | 2004-07-20 |
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