Li, Shuo (SFC:BCY584) 李碩
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 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-03-06 | 2021-04-30 |
| 2 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2014-03-06 | 2020-07-29 | RO | Dealing in securities | 2020-07-29 | 2021-04-30 | Rep | Advising on securities | 2020-09-22 | 2021-04-30 |
| 3 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2021-06-17 | 2021-09-20 | Rep | Dealing in futures contracts | 2021-06-17 | 2021-09-20 | Rep | Dealing in securities | 2021-06-17 | 2021-09-20 | Rep | Asset management | 2021-07-07 | RO | Advising on securities | 2021-09-20 | RO | Dealing in futures contracts | 2021-09-20 | RO | Dealing in securities | 2021-09-20 |
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