Li, James Kong 李剛
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 | Baillie Gifford Asia (Hong Kong) Limited | Rep | Dealing in futures contracts | 2020-03-31 | 2020-07-31 | Rep | Dealing in securities | 2020-03-31 | 2020-07-31 | RO | Dealing in futures contracts | 2020-07-31 | RO | Dealing in securities | 2020-07-31 |
| 2 | BARING ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2014-07-04 | 2014-10-14 | Rep | Dealing in securities | 2014-07-04 | 2014-10-14 | Rep | Advising on futures contracts | 2014-07-04 | 2017-10-31 | Rep | Asset management | 2014-07-04 | 2019-12-09 | RO | Advising on securities | 2014-10-14 | 2019-12-09 | RO | Dealing in securities | 2014-10-14 | 2019-12-09 | Rep | Dealing in futures contracts | 2015-11-18 | 2017-10-31 | RO | Advising on futures contracts | 2017-10-31 | 2019-12-09 | RO | Dealing in futures contracts | 2017-10-31 | 2019-12-09 |
| 3 | CITIC Securities Brokerage (HK) Limited | Rep | Advising on securities | 2003-06-02 | 2005-12-17 | Rep | Dealing in securities | 2003-06-02 | 2005-12-17 |
| 4 | First Sentier Investors (Hong Kong) Limited | Rep | Dealing in securities | 2006-01-13 | 2014-06-14 | Rep | Advising on securities | 2006-01-17 | 2014-06-14 |
| 5 | FIRST STATE (HONG KONG) LLC | Rep | Advising on securities | 2006-01-13 | 2007-07-05 |
| 6 | JS CRESVALE SECURITIES INTERNATIONAL LIMITED | Rep | Advising on corporate finance | 2003-04-14 | Rep | Advising on securities | 2003-04-14 | Rep | Asset management | 2003-04-14 | Rep | Automated trading services | 2003-04-14 | Rep | Dealing in securities | 2003-04-14 |
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