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