Li, Sung Tat 李崇達
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 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2021-11-05 | 2022-03-07 | Rep | Advising on corporate finance | 2021-12-16 | 2023-06-01 | RO | Dealing in securities | 2022-03-07 | 2023-06-01 |
| 2 | China Securities (International) Brokerage Company Limited | Rep | Dealing in securities | 2014-07-22 | 2018-05-21 |
| 3 | China Securities (International) Corporate Finance Company Limited | Rep | Advising on corporate finance | 2014-07-22 | 2018-05-21 | Rep | Dealing in securities | 2014-07-22 | 2018-05-21 |
| 4 | CMBC International Capital Limited | Rep | Dealing in securities | 2018-06-11 | 2018-10-31 | Rep | Advising on corporate finance | 2018-06-11 | 2019-05-26 | RO | Dealing in securities | 2018-10-31 | 2019-05-26 |
| 5 | CMBC SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2018-06-11 | 2019-05-26 |
| 6 | First Prosperous Capital Company Limited | RO | Advising on corporate finance | 2021-08-12 | 2021-10-12 | RO | Dealing in securities | 2021-08-12 | 2021-10-12 |
| 7 | GF Capital (Hong Kong) Limited | Rep | Advising on corporate finance | 2019-06-18 | 2021-07-30 |
| 8 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2019-06-18 | 2021-07-30 |
| 9 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2011-08-25 | 2014-07-04 |
| 10 | KAISER FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-02-12 | 2010-03-19 |
| 11 | KAISER SECURITIES LIMITED | Rep | Dealing in securities | 2010-02-12 | 2010-03-19 |
| 12 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Dealing in securities | 2023-08-31 | 2024-02-23 | Rep | Advising on corporate finance | 2024-02-23 | RO | Dealing in securities | 2024-02-23 |
| 13 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2023-08-31 | 2024-02-23 | RO | Dealing in securities | 2024-02-23 |
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