Li, Kwok Yin 李國賢
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 | GOOD HARVEST SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2018-05-02 | 2018-09-07 |
| 2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2007-08-17 | 2016-12-20 | Rep | Leveraged foreign exchange trading | 2018-11-13 |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2007-05-25 | 2016-12-20 | Rep | Dealing in futures contracts | 2018-11-13 |
| 4 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-05-25 | 2013-01-22 |
| 5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-05-25 | 2016-12-20 | Rep | Advising on securities | 2015-02-27 | 2016-12-20 | Rep | Dealing in securities | 2018-10-12 | Rep | Advising on securities | 2018-11-13 |
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