Wan, Li (SFC:AHD514) 萬里
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 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Advising on futures contracts | 2011-12-19 | 2020-03-19 | Rep | Dealing in futures contracts | 2011-12-19 | 2020-03-19 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2010-02-12 | 2010-06-02 | RO | Dealing in securities | 2010-06-02 | 2020-03-19 |
| 3 | CICC US Securities (Hong Kong) Limited | RO | Dealing in securities | 2011-05-25 | 2012-02-17 | Rep | Dealing in securities | 2014-09-11 | 2020-03-19 |
| 4 | CICC US Securities, Inc. | RO | Dealing in securities | 2011-05-25 | 2011-10-31 |
| 5 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2004-03-31 | 2005-04-11 |
| 6 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-07-14 | 2009-12-12 |
| 7 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-08-28 | 2009-12-12 |
| 8 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2022-11-10 | Rep | Dealing in securities | 2022-11-10 |
| 9 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-03-08 | Rep | Advising on securities | 2004-03-08 | Rep | Asset management | 2004-03-08 | Rep | Dealing in securities | 2004-03-08 | Rep | Dealing in securities | 2005-04-12 | 2008-04-12 |
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