Li, Xiaozhou (SFC:AXL142) 李小舟
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 | CPIC Investment Management (H.K.) Company Limited | Rep | Advising on securities | 2022-06-01 | 2022-12-14 | Rep | Asset management | 2022-06-01 | 2022-12-14 | Rep | Advising on securities | 2023-07-07 | Rep | Asset management | 2023-07-07 | Rep | Dealing in securities | 2023-07-07 |
| 2 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2011-06-20 | 2011-08-10 | Rep | Dealing in securities | 2011-06-20 | 2011-08-10 |
| 3 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2011-06-20 | 2011-08-10 |
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