Li, Jixiang (SFC:APW452)
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 | uSmart Securities Limited | Rep | Advising on securities | 2022-05-19 | 2022-07-06 | Rep | Asset management | 2022-05-19 | 2022-07-06 | Rep | Dealing in securities | 2022-05-19 | 2022-07-06 | RO | Advising on securities | 2022-07-06 | 2022-08-19 | RO | Asset management | 2022-07-06 | 2022-08-19 | RO | Dealing in securities | 2022-07-06 | 2022-08-19 | Rep | Advising on securities | 2022-08-19 | 2022-09-05 | Rep | Asset management | 2022-08-19 | 2022-09-05 | Rep | Dealing in securities | 2022-08-19 | 2022-09-05 |
| 2 | TIANDA SECURITIES LIMITED | Rep | Advising on securities | 2021-09-06 | 2021-11-22 | Rep | Dealing in securities | 2021-09-06 | 2021-11-22 | RO | Advising on securities | 2021-11-22 | 2022-05-12 | RO | Dealing in securities | 2021-11-22 | 2022-05-12 |
| 3 | TIANDA ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2021-09-06 | 2021-11-22 | Rep | Asset management | 2021-09-06 | 2021-11-22 | RO | Advising on securities | 2021-11-22 | 2022-05-12 | RO | Asset management | 2021-11-22 | 2022-05-12 |
| 4 | Profound Capital Limited | Rep | Asset management | 2016-10-13 | 2018-01-24 |
| 5 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2010-05-17 | 2011-09-07 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on securities | 2007-10-24 | 2008-04-04 | Rep | Dealing in securities | 2007-10-24 | 2008-04-04 |
| 7 | DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | Advising on securities | 2008-06-05 | 2010-01-28 |
| 8 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2009-08-24 | 2010-01-28 |
| 9 | BKT Asset Management HK Limited | Rep | Advising on securities | 2023-12-14 | 2024-01-19 | Rep | Asset management | 2023-12-14 | 2024-01-19 | RO | Advising on securities | 2024-01-19 | 2024-02-29 | RO | Asset management | 2024-01-19 | 2024-02-29 |
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