Li, Wen (SFC:BGL243) 李聞
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 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2018-08-13 | 2021-04-16 |
| 2 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2017-06-21 | 2018-06-20 | Rep | Advising on securities | 2017-06-21 | 2018-06-20 | Rep | Dealing in securities | 2017-06-21 | 2018-06-20 |
| 3 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2015-10-30 | 2017-03-09 | Rep | Advising on securities | 2015-10-30 | 2017-03-09 | Rep | Dealing in securities | 2015-10-30 | 2017-03-09 |
| 4 | Everbright Securities Investment Services (HK) Limited | Rep | Advising on securities | 2017-12-15 | 2018-06-20 | Rep | Dealing in securities | 2017-12-15 | 2018-06-20 |
| 5 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in securities | 2021-05-05 | Rep | Advising on corporate finance | 2021-05-27 | Rep | Advising on securities | 2021-05-27 |
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