Xin Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xin Li (李昕), a licensed Responsible Officer with CE reference ANY390. Currently licensed at 2 firm(s): China Sunrise Securities (International) Limited, China Sunrise Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.4 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Sunrise Securities (International) Limited 華升證券(國際)有限公司 |
RO | Type 1 - Dealing in securities | 2023-02-08 | present |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 4 - Advising on securities | 2023-02-08 | present |
| China Sunrise Securities (International) Limited 華升證券(國際)有限公司 |
RO | Type 4 - Advising on securities | 2023-02-08 | present |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 9 - Asset management | 2023-02-08 | present |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2023-02-08 | 2023-11-06 |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2023-01-13 | 2023-02-08 |
| China Sunrise Securities (International) Limited 華升證券(國際)有限公司 |
Rep | Type 4 - Advising on securities | 2023-01-13 | 2023-02-08 |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
Rep | Type 9 - Asset management | 2023-01-13 | 2023-02-08 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2021-10-04 | 2022-10-14 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2021-10-04 | 2022-10-14 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-02-08 | 2021-06-14 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
RO | Type 9 - Asset management | 2017-02-08 | 2021-06-14 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2012-10-18 | 2016-08-09 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2012-06-20 | 2016-08-09 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 9 - Asset management | 2012-06-20 | 2016-08-09 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2009-11-24 | 2012-06-20 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2009-04-30 | 2012-06-20 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-22 | 2008-11-14 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2006-09-22 | 2008-11-14 |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 - Asset management | 2006-09-22 | 2008-11-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xin 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.