SFC Licences of LI Mavis Qiwen 李綺雯
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 7 | 28 August 2020 | 12 January 2023 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 28 August 2020 | 12 January 2023 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 28 August 2020 | 12 January 2023 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 28 August 2020 | 12 January 2023 |
| UBS Securities Hong Kong Limited | RE | 6 | 08 February 2018 | 07 December 2018 |
| UBS Securities Hong Kong Limited | RE | 2 | 19 December 2016 | 08 February 2018 |
| UBS Securities Hong Kong Limited | RE | 1 | 19 December 2016 | 08 February 2018 |
| UBS Derivatives Hong Kong Limited | RE | 2 | 10 May 2012 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RE | 1 | 14 December 2006 | 18 December 2016 |
| UBS Securities Asia Limited | RE | 2 | 25 October 2005 | 21 December 2017 |
| UBS Securities Asia Limited | RE | 1 | 06 July 2005 | 21 December 2017 |