SFC Licences of LI Kay Yuen 李基源
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 | RE | 1 | 15 March 2021 | 31 December 2021 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | 07 March 2021 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 06 November 2012 | 31 May 2019 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 06 November 2012 | 02 October 2017 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 20 September 2012 | 20 October 2012 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 06 February 2012 | 20 October 2012 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 | RE | 2 | 17 June 2009 | 31 March 2011 |
| Prudential Brokerage Limited 信誠證券有限公司 | RE | 1 | 02 April 2009 | 26 January 2012 |