Li, Yao Jun 李耀君
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 | 313 Capital Management Limited | Rep | Advising on securities | 2015-09-30 | 2016-12-27 | Rep | Asset management | 2015-09-30 | 2016-12-27 |
2 | ASA SECURITIES LIMITED | Rep | Dealing in securities | 2010-11-17 | 2013-03-31 |
3 | Changjiang Asset Management (HK) Limited | Rep | Advising on securities | 2017-02-08 | 2021-05-07 | Rep | Asset management | 2017-02-08 | 2021-05-07 |
4 | Changjiang Futures (HK) Limited | Rep | Dealing in futures contracts | 2017-02-08 | 2021-05-07 |
5 | Changjiang Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2017-02-08 | 2017-07-05 | RO | Dealing in securities | 2017-07-05 | 2021-05-07 |
6 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2007-06-14 | 2008-07-10 |
7 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-06-14 | 2008-07-10 |
8 | Doo Financial HK Limited | RO | Advising on securities | 2022-12-23 | RO | Asset management | 2022-12-23 | RO | Dealing in securities | 2024-02-14 |
9 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2008-07-30 | 2010-11-10 |
10 | FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | Rep | Dealing in securities | 2013-04-08 | 2014-03-11 | Rep | Advising on securities | 2013-05-27 | 2014-03-11 | Rep | Asset management | 2013-05-27 | 2014-03-11 |
11 | NOAH HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-04-27 | 2015-07-06 | Rep | Asset management | 2015-04-27 | 2015-07-06 | Rep | Dealing in securities | 2015-04-27 | 2015-07-06 |
12 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2016-05-25 | 2016-11-11 |
13 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2015-09-30 | 2016-11-11 |
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