Li, Lai Yee (SFC:AIP435) 李禮怡
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 | HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Advising on corporate finance | 2004-05-24 | |
| 2 | HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Advising on securities | 2004-05-24 | |
| 3 | HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Asset management | 2004-05-24 | |
| 4 | T G HOLBORN (HK) LIMITED | Rep | Advising on securities | 2004-06-18 | 2005-01-21 |
| 5 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2005-11-18 | 2008-01-01 |
| 6 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2005-11-18 | 2008-01-01 |
| 7 | FORTUNE (HK) SECURITIES LIMITED | Rep | Dealing in securities | 2008-10-31 | 2012-03-05 |
| 8 | HARRIS FRASER (INTERNATIONAL) LIMITED | Rep | Dealing in securities | 2012-03-23 | 2014-07-02 |
| 9 | PC SECURITIES LIMITED | Rep | Dealing in securities | 2015-12-03 | 2016-01-21 |
| 10 | KAISER CAPITAL MANAGEMENT LIMITED | Rep | Advising on securities | 2017-09-08 | 2018-01-02 |
| 11 | KAISER CAPITAL MANAGEMENT LIMITED | Rep | Asset management | 2017-09-08 | 2018-01-02 |
| 12 | KAISER SECURITIES LIMITED | Rep | Dealing in securities | 2017-09-08 | 2018-01-02 |
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