Charles Sai Yiu Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Sai Yiu Li (李世耀), a licensed Responsible Officer with CE reference AFN641. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 22.1 years of SFC licence history. Total licence records on file: 23.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 - Asset management | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 - Asset management | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 - Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2022-09-23 | 2023-03-20 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-02-01 | 2016-02-16 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2010-03-04 | 2016-01-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2010-02-08 | 2016-02-16 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2006-08-09 | 2009-08-01 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 - Advising on securities | 2006-07-06 | 2009-08-01 |
| TC Investment Management (Asia) Limited 同創投資管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2003-11-03 | 2006-06-23 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charles Sai Yiu Li during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.