Li, Wai Sum 李煒森
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 | Yuanta Securities (Hong Kong) Company Limited | Rep | Advising on securities | 2012-06-21 | 2013-12-19 | Rep | Dealing in futures contracts | 2012-06-21 | 2013-12-19 | Rep | Dealing in securities | 2012-06-21 | 2013-12-19 |
| 2 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Advising on securities | 2010-12-22 | 2013-08-01 | Rep | Dealing in securities | 2010-12-22 | 2013-08-01 | Rep | Dealing in futures contracts | 2011-09-30 | 2013-08-01 |
| 3 | WANEXE SECURITIES (HK) LIMITED | Rep | Leveraged foreign exchange trading | 2019-05-23 | 2019-07-03 |
| 4 | RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2010-04-20 | 2010-11-05 | Rep | Dealing in securities | 2010-04-20 | 2010-11-05 |
| 5 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Advising on securities | 2014-01-20 | 2015-08-28 | Rep | Dealing in securities | 2014-01-20 | 2015-08-28 |
| 6 | PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED | Rep | Dealing in futures contracts | 2014-01-20 | 2015-08-28 |
| 7 | FULBRIGHT SECURITIES LIMITED | Rep | Advising on securities | 2015-09-07 | 2017-07-01 | Rep | Dealing in securities | 2015-09-07 | 2017-07-01 |
| 8 | FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-09-07 | 2017-07-01 |
| 9 | FULBRIGHT ASSET MANAGEMENT LIMITED | Rep | Asset management | 2015-12-28 | 2017-07-01 |
| 10 | Fantasia Asset Management Limited | RO | Asset management | 2019-10-24 | 2022-03-31 |
| 11 | Da Heng Qin (Hong Kong) Company Limited | RO | Advising on securities | 2022-08-18 | 2023-11-10 | RO | Asset management | 2022-08-18 | 2023-11-10 |
| 12 | CARLYON SECURITIES LIMITED | RO | Dealing in securities | 2024-02-28 | |
| 13 | CARLYON ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2024-02-23 | 2024-02-28 | Rep | Asset management | 2024-02-23 | 2024-02-28 | RO | Advising on securities | 2024-02-28 | RO | Asset management | 2024-02-28 |
| 14 | Blackhorn Wealth Management Limited | RO | Advising on securities | 2018-12-03 | 2019-03-29 | RO | Asset management | 2018-12-03 | 2019-03-29 |
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