SFC Licences of LI Ming 李明
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Guotai Junan FX Limited 國泰君安外匯有限公司 | RE | 3 | 17 August 2022 | |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 | RE | 5 | 17 August 2022 | |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 | RE | 2 | 17 August 2022 | |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 4 | 13 April 2021 | |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 1 | 13 April 2021 | |
| Goldhorse Capital Management (HK) Limited | RE | 9 | 03 October 2019 | 16 March 2021 |
| Goldhorse Capital Management (HK) Limited | RE | 4 | 16 August 2019 | 16 March 2021 |
| Goldhorse Capital Management (HK) Limited | RE | 1 | 16 August 2019 | 16 March 2021 |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 4 | 05 February 2013 | 19 July 2019 |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 1 | 05 February 2013 | 19 July 2019 |