SFC Licences of LI Ming, Doris 李敏

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

Institution Role Licences Start date End date
Yongan Guofu Asset Management (Hong Kong) Company Limited 永安國富資產管理(香港)有限公司 RO 9 26 August 2021
Yongan Guofu Asset Management (Hong Kong) Company Limited 永安國富資產管理(香港)有限公司 RO 4 26 August 2021
Yongan Guofu Asset Management (Hong Kong) Company Limited 永安國富資產管理(香港)有限公司 RE 9 25 August 2021 26 August 2021
Yongan Guofu Asset Management (Hong Kong) Company Limited 永安國富資產管理(香港)有限公司 RE 4 25 August 2021 26 August 2021
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 9 20 June 2019 30 January 2020
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 4 20 June 2019 30 January 2020
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 1 20 June 2019 30 January 2020
JMC Capital HK Limited 富喬鑫資本(香港)有限公司 RO 9 16 August 2018 11 June 2019
JMC Capital HK Limited 富喬鑫資本(香港)有限公司 RO 4 16 August 2018 11 June 2019
JMC Capital HK Limited 富喬鑫資本(香港)有限公司 RO 1 16 August 2018 11 June 2019
China Enterprise Securities Company Limited 華業金控證券有限公司 RO 9 03 March 2015 30 November 2017
China Enterprise Securities Company Limited 華業金控證券有限公司 RO 4 03 March 2015 30 November 2017
China Enterprise Securities Company Limited 華業金控證券有限公司 RO 1 03 March 2015 30 November 2017
China Enterprise Securities Company Limited 華業金控證券有限公司 RE 9 25 March 2013 03 March 2015
China Enterprise Securities Company Limited 華業金控證券有限公司 RE 4 25 March 2013 03 March 2015
China Enterprise Securities Company Limited 華業金控證券有限公司 RE 1 25 March 2013 03 March 2015
Newmount Investment Management (Asia) Limited 聯望投資顧問(亞洲)有限公司 RO 9 23 August 2007 08 September 2010
Newmount Investment Management (Asia) Limited 聯望投資顧問(亞洲)有限公司 RO 4 23 August 2007 08 September 2010
Newmount Investment Management (Asia) Limited 聯望投資顧問(亞洲)有限公司 RE 4 20 July 2006 23 August 2007
Newmount Investment Management (Asia) Limited 聯望投資顧問(亞洲)有限公司 RE 9 12 April 2006 23 August 2007