Li, Siu Kim (SFC:AFW899) 李紹劍
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 PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2003-05-31 | Rep | Asset management | 2003-05-31 | Rep | Dealing in futures contracts | 2003-05-31 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-05-31 | Rep | Advising on securities | 2003-05-31 | Rep | Asset management | 2003-05-31 | Rep | Dealing in securities | 2003-05-31 |
| 3 | BOYER ALLAN INVESTMENT MANAGEMENT (HONG KONG) LIMITED | Rep | Asset management | 2011-01-04 | 2011-02-22 | RO | Asset management | 2011-02-22 | 2012-02-07 |
| 4 | DTC Investment Management (HK) Limited | Rep | Asset management | 2021-03-01 | 2021-06-03 | RO | Asset management | 2021-06-03 |
| 5 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2003-06-03 | 2008-11-07 | Rep | Dealing in securities | 2003-06-03 | 2008-11-07 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2003-06-03 | 2008-11-07 | Rep | Dealing in futures contracts | 2003-06-03 | 2008-11-07 |
| 7 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2008-02-11 | 2008-11-07 |
| 8 | Springboard Capital Limited | Rep | Asset management | 2012-06-01 | 2012-06-14 | Rep | Advising on securities | 2012-06-01 | 2014-04-08 | RO | Asset management | 2012-06-14 | 2020-04-30 | RO | Advising on securities | 2014-04-08 | 2020-04-30 |
| 9 | SUN Partners Investment Management Limited | Rep | Asset management | 2009-01-20 | 2010-03-31 |
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