SFC Licences of LI Wen 李聞

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

Institution Role Licences Start date End date
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 6 27 May 2021
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 4 27 May 2021
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 1 05 May 2021
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 13 August 2018 16 April 2021
Everbright Securities Investment Services (HK) Limited 光大證券投資服務(香港)有限公司 RE 4 15 December 2017 20 June 2018
Everbright Securities Investment Services (HK) Limited 光大證券投資服務(香港)有限公司 RE 1 15 December 2017 20 June 2018
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 6 21 June 2017 20 June 2018
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 4 21 June 2017 20 June 2018
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 RE 1 21 June 2017 20 June 2018
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 6 30 October 2015 09 March 2017
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 4 30 October 2015 09 March 2017
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 1 30 October 2015 09 March 2017