Li, Shuwan 李姝婉
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 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-09-09 | 2016-03-09 | Rep | Advising on securities | 2015-09-09 | 2016-03-09 | Rep | Advising on corporate finance | 2016-06-01 | 2016-09-30 | Rep | Advising on securities | 2016-06-01 | 2016-09-30 |
| 2 | CLSA LIMITED | Rep | Advising on securities | 2015-09-09 | 2016-03-09 | Rep | Dealing in securities | 2015-09-09 | 2016-03-09 | Rep | Dealing in securities | 2016-06-01 | 2016-09-30 |
| 3 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2014-05-14 | 2015-07-28 | Rep | Dealing in securities | 2014-05-14 | 2015-07-28 | Rep | Advising on corporate finance | 2017-01-10 | 2021-02-19 | Rep | Dealing in securities | 2017-01-10 | 2021-02-19 |
| 4 | Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2014-05-14 | 2015-07-28 | Rep | Advising on corporate finance | 2017-01-10 | 2017-03-31 |
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