Li, Doris Ming 李敏
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 | China Enterprise Securities Company Limited | Rep | Advising on securities | 2013-03-25 | 2015-03-03 | Rep | Asset management | 2013-03-25 | 2015-03-03 | Rep | Dealing in securities | 2013-03-25 | 2015-03-03 | RO | Advising on securities | 2015-03-03 | 2017-11-30 | RO | Asset management | 2015-03-03 | 2017-11-30 | RO | Dealing in securities | 2015-03-03 | 2017-11-30 |
| 2 | JMC Capital HK Limited | RO | Advising on securities | 2018-08-16 | 2019-06-11 | RO | Asset management | 2018-08-16 | 2019-06-11 | RO | Dealing in securities | 2018-08-16 | 2019-06-11 |
| 3 | NEWMOUNT INVESTMENT MANAGEMENT (ASIA) LIMITED | Rep | Asset management | 2006-04-12 | 2007-08-23 | Rep | Advising on securities | 2006-07-20 | 2007-08-23 | RO | Advising on securities | 2007-08-23 | 2010-09-08 | RO | Asset management | 2007-08-23 | 2010-09-08 |
| 4 | PHILIPPA HUCKLE GROUP LIMITED (THE) | RO | Advising on securities | 2019-06-20 | 2020-01-30 | RO | Asset management | 2019-06-20 | 2020-01-30 | RO | Dealing in securities | 2019-06-20 | 2020-01-30 |
| 5 | YONGAN GUOFU ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED | Rep | Advising on securities | 2021-08-25 | 2021-08-26 | Rep | Asset management | 2021-08-25 | 2021-08-26 | RO | Advising on securities | 2021-08-26 | RO | Asset management | 2021-08-26 |
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