SFC Licences of ZHAO Geoffrey Li 趙力
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited |
RO | 1, 4, 6 | 19 July 2021 | |
| SMBC Nikko Securities (Hong Kong) Limited |
RE | 1, 4, 6 | 07 July 2021 | 19 July 2021 |
| CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 |
RO | 4, 6 | 27 September 2017 | 30 April 2021 |
| CLSA Limited 中信里昂證券有限公司 |
RO | 1 | 27 September 2017 | 30 April 2021 |
| CLSA Limited 中信里昂證券有限公司 |
RE | 1 | 24 April 2015 | 27 September 2017 |
| CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 |
RE | 4, 6 | 24 April 2015 | 27 September 2017 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RE | 1, 4, 6 | 06 July 2011 | 01 January 2016 |