Yi Sum Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi Sum Li (李懿沁), a licensed Representative with CE reference AXF706. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 13.5 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-01-07 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-01-07 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-01-07 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-16 | 2020-12-28 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-08-16 | 2020-12-28 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-05-03 | 2015-11-30 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2015-11-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2015-11-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yi Sum 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.