Li, Charles Sai Yiu 李世耀
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 | Allianz Global Investors Hong Kong Limited | Rep | Advising on securities | 2006-07-06 | 2009-08-01 | Rep | Dealing in securities | 2006-08-09 | 2009-08-01 |
| 2 | FORTIS INVESTMENT MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2003-05-01 | Rep | Asset management | 2003-05-01 | Rep | Dealing in securities | 2003-05-01 |
| 3 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2022-09-23 | 2023-03-20 | Rep | Dealing in securities | 2022-09-23 | 2023-03-20 | Rep | Asset management | 2022-10-14 | 2023-03-20 | RO | Advising on securities | 2023-03-20 | RO | Asset management | 2023-03-20 | RO | Dealing in securities | 2023-03-20 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2022-09-23 | 2023-03-20 | Rep | Dealing in securities | 2022-09-23 | 2023-03-20 | Rep | Asset management | 2022-10-14 | 2023-03-20 | RO | Advising on securities | 2023-03-20 | RO | Asset management | 2023-03-20 | RO | Dealing in securities | 2023-03-20 |
| 5 | TC Investment Management (Asia) Limited | Rep | Advising on securities | 2003-11-03 | 2006-06-23 |
| 6 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2010-02-08 | 2016-02-16 | Rep | Asset management | 2010-03-04 | 2016-01-22 | Rep | Dealing in securities | 2013-02-01 | 2016-02-16 | RO | Advising on securities | 2016-02-16 | 2022-07-15 | RO | Dealing in securities | 2016-02-16 | 2022-07-15 |
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