SFC licenceholder ATS380 LI Kim Ping 李儉炳

Licences

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

Updated: 05 April 2020

Institution Role Licences Start date End date
Sheng Yuan Sino Asset Management Limited 盛源中港資產管理有限公司 RO [4] (Advising on Securities), [9] (Asset Management) 13 March 2020
Sheng Yuan Securities Limited 盛源證券有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) 30 November 2018
Sheng Yuan Asset Management Limited 盛源資產管理有限公司 RE [9] (Asset Management) 18 October 2018 19 December 2019
Sheng Yuan Securities Limited 盛源證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities) 18 October 2018 30 November 2018
Atta Capital Limited 紅蟻資本有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 10 September 2018 09 October 2018
Atta Securities Limited 紅蟻證券有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 03 July 2018 09 October 2018
Finet Securities Limited 財華證券有限公司 RE [9] (Asset Management) 07 March 2017 25 January 2018
Finet Securities Limited 財華證券有限公司 RO [4] (Advising on Securities) 08 November 2016 25 January 2018
Finet Securities Limited 財華證券有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 30 September 2016 25 January 2018
Finet Securities Limited 財華證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 02 September 2016 30 September 2016
Realink Financial Trade Limited 滙信理財有限公司 RO [2] (Dealing in Futures Contracts) 02 September 2015 20 August 2016
Realink Financial Trade Limited 滙信理財有限公司 RE [1] (Dealing in Securities) 12 October 2009 20 August 2016
Realink Financial Trade Limited 滙信理財有限公司 RE [2] (Dealing in Futures Contracts) 12 October 2009 02 September 2015