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