Li, Ester Joyse Sau Han 李秀嫻
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 | AXIAL CAPITAL MANAGEMENT LIMITED | Rep | Asset management | 2007-04-13 | 2007-10-13 | Rep | Asset management | 2008-10-06 | 2010-04-01 | RO | Asset management | 2017-01-10 | 2018-04-10 |
| 2 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2013-09-24 | 2016-01-21 | Rep | Dealing in securities | 2013-09-24 | 2016-01-21 |
| 3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2018-05-18 | 2020-11-30 | Rep | Dealing in securities | 2018-05-18 | 2020-11-30 |
| 4 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2010-04-20 | 2013-06-25 | Rep | Dealing in securities | 2010-04-20 | 2013-06-25 |
| 5 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-01-08 | Rep | Asset management | 2004-01-08 | Rep | Advising on securities | 2006-07-10 | Rep | Dealing in securities | 2006-07-10 |
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