SFC Licences of LI Sau Han, Ester Joyse 李秀嫻

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 2 18 May 2018 30 November 2020
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 18 May 2018 30 November 2020
Axial Capital Management Limited RO 9 10 January 2017 10 April 2018
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 2 24 September 2013 21 January 2016
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 1 24 September 2013 21 January 2016
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 RE 4 20 April 2010 25 June 2013
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 RE 1 20 April 2010 25 June 2013
Axial Capital Management Limited RE 9 06 October 2008 01 April 2010
Axial Capital Management Limited RE 9 13 April 2007 13 October 2007
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 1 01 April 2003 10 July 2006
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 4 01 April 2003 10 July 2006
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 9 01 April 2003 08 January 2004
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 6 01 April 2003 08 January 2004