Li, Sean Chok Sun 李濯新
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 Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2012-10-10 | 2014-01-31 |
| 2 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Dealing in securities | 2012-10-10 | 2014-01-31 |
| 3 | CSC FINANCIAL SERVICES LIMITED (d2015-11-19) | Rep | Advising on corporate finance | 2003-08-08 | Rep | Advising on securities | 2003-08-08 | Rep | Asset management | 2003-08-08 | Rep | Dealing in securities | 2003-08-11 |
| 4 | CSC SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2003-08-08 | Rep | Advising on securities | 2003-08-08 | Rep | Asset management | 2003-08-08 | Rep | Automated trading services | 2003-08-08 | Rep | Dealing in securities | 2003-08-11 |
| 5 | FIRST SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2003-09-22 | 2004-03-22 |
| 6 | Ruisen Port Securities Limited | Rep | Dealing in securities | 2014-02-13 | 2014-03-20 |
| 7 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2014-04-03 | 2014-07-23 | RO | Dealing in futures contracts | 2014-07-23 | 2023-04-03 |
| 8 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2014-04-03 | 2014-07-23 | RO | Dealing in securities | 2014-07-23 | 2023-04-03 |
| 9 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-04-20 | 2012-10-05 |
| 10 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-02-26 | 2012-10-05 |
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