SFC Licences of LI Kwok Yin 李國賢
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 13 November 2018 | |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 4 | 13 November 2018 | |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 13 November 2018 | |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 12 October 2018 | |
| Good Harvest Securities Company Limited 豐年證券投資有限公司 | RE | 1 | 02 May 2018 | 07 September 2018 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 4 | 27 February 2015 | 20 December 2016 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 17 August 2007 | 20 December 2016 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 25 May 2007 | 20 December 2016 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 25 May 2007 | 20 December 2016 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 | RE | 2 | 25 May 2007 | 22 January 2013 |