Li, Ka Ying (SFC:ANM710) 李家盈
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 | CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2006-09-25 | 2009-06-01 |
2 | CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2006-07-25 | 2009-06-01 |
3 | China Enterprise Securities Company Limited | Rep | Advising on securities | 2017-06-28 | 2017-07-20 | Rep | Dealing in securities | 2017-06-28 | 2017-07-20 | Rep | Asset management | 2017-06-28 | 2017-08-07 | RO | Advising on securities | 2017-07-20 | 2017-08-07 | RO | Dealing in securities | 2017-07-20 | 2017-08-07 |
4 | FAIRWIN BROKING LIMITED | Rep | Dealing in securities | 2016-08-17 | 2016-10-03 | RO | Dealing in securities | 2016-10-03 | 2017-05-05 | Rep | Dealing in securities | 2017-08-16 | 2017-09-14 | RO | Dealing in securities | 2017-09-14 | 2021-02-28 |
5 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2012-04-18 | 2013-02-16 |
6 | Guangdong Capital Securities Limited | RO | Advising on securities | 2021-09-06 | RO | Asset management | 2021-09-06 | RO | Dealing in securities | 2021-09-06 |
7 | M&F Asset Management Limited | Rep | Dealing in securities | 2013-02-22 | 2014-05-02 |
8 | METRO CAPITAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2013-12-23 | 2014-05-02 |
9 | North Beta International Securities Limited | Rep | Dealing in securities | 2009-07-23 | 2012-03-30 |
10 | Vantage New Generation Securities Limited | Rep | Dealing in securities | 2014-05-09 | 2014-12-15 | RO | Dealing in securities | 2014-12-15 | 2016-06-20 | RO | Advising on securities | 2015-01-07 | 2016-06-20 | Rep | Advising on securities | 2016-06-20 | 2016-08-11 | Rep | Dealing in securities | 2016-06-20 | 2016-08-11 |
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