SFC Licences of LI Wai Sum 李煒森

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

Institution	Role	Licences	Start date	End date
Carlyon Securities Limited 格理昂證券有限公司	RO	1	28 February 2024
Carlyon Asset Management Limited 格理昂資產管理有限公司	RO	9	28 February 2024
Carlyon Asset Management Limited 格理昂資產管理有限公司	RO	4	28 February 2024
Carlyon Asset Management Limited 格理昂資產管理有限公司	RE	9	23 February 2024	28 February 2024
Carlyon Asset Management Limited 格理昂資產管理有限公司	RE	4	23 February 2024	28 February 2024
Da Heng Qin (Hong Kong) Company Limited 大橫琴股份(香港)有限公司	RO	9	18 August 2022	10 November 2023
Da Heng Qin (Hong Kong) Company Limited 大橫琴股份(香港)有限公司	RO	4	18 August 2022	10 November 2023
Fantasia Asset Management Limited 花樣年資產管理有限公司	RO	9	24 October 2019	31 March 2022
Wanexe Securities (HK) Limited 萬盛證券(香港)有限公司	RE	3	23 May 2019	03 July 2019
Blackhorn Wealth Management Limited 晉羚財富管理有限公司	RO	9	03 December 2018	29 March 2019
Blackhorn Wealth Management Limited 晉羚財富管理有限公司	RO	4	03 December 2018	29 March 2019
Fulbright Asset Management Limited 富昌資產管理有限公司	RE	9	28 December 2015	01 July 2017
Fulbright Futures Limited 富昌期貨有限公司	RE	2	07 September 2015	01 July 2017
Fulbright Securities Limited 富昌證券有限公司	RE	4	07 September 2015	01 July 2017
Fulbright Securities Limited 富昌證券有限公司	RE	1	07 September 2015	01 July 2017
Ping An of China Futures (Hong Kong) Company Limited 中國平安期貨(香港)有限公司	RE	2	20 January 2014	28 August 2015
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RE	4	20 January 2014	28 August 2015
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RE	1	20 January 2014	28 August 2015
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司	RE	4	21 June 2012	19 December 2013
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司	RE	2	21 June 2012	19 December 2013
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司	RE	1	21 June 2012	19 December 2013
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司	RE	2	30 September 2011	01 August 2013
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司	RE	4	22 December 2010	01 August 2013
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司	RE	1	22 December 2010	01 August 2013
RHB Securities Hong Kong Limited 興業金融證券有限公司	RE	1	20 April 2010	05 November 2010
RHB Securities Hong Kong Limited 興業金融證券有限公司	RE	4	20 April 2010	05 November 2010