SFC Licences of LI Kong, James 李剛

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

Institution Role Licences Start date End date
Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 RO 2 31 July 2020
Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 RO 1 31 July 2020
Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 RE 2 31 March 2020 31 July 2020
Baillie Gifford Asia (Hong Kong) Limited 柏基亞洲(香港)有限公司 RE 1 31 March 2020 31 July 2020
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 5 31 October 2017 09 December 2019
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 2 31 October 2017 09 December 2019
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 2 18 November 2015 31 October 2017
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 4 14 October 2014 09 December 2019
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 1 14 October 2014 09 December 2019
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 9 04 July 2014 09 December 2019
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 5 04 July 2014 31 October 2017
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 4 04 July 2014 14 October 2014
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 1 04 July 2014 14 October 2014
First Sentier Investors (Hong Kong) Limited RE 4 17 January 2006 14 June 2014
First Sentier Investors (Hong Kong) Limited RE 1 13 January 2006 14 June 2014
First State (Hong Kong) LLC RE 4 13 January 2006 05 July 2007
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 4 02 June 2003 17 December 2005
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 02 June 2003 17 December 2005
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 6 01 April 2003 14 April 2003
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 7 01 April 2003 14 April 2003
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 9 01 April 2003 14 April 2003
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 4 01 April 2003 14 April 2003
JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 RE 1 01 April 2003 14 April 2003