Kwok Yau Li

CE No. AAE135 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Yau Li (), a licensed former licensee with CE reference AAE135. Total licence records on file: 4.

Licence history

FirmRoleRegulated activityFromTo
CLSA Limited
中信里昂證券有限公司
Rep Type 1 - Dealing in securities present 2003-11-11
CLSA Limited
中信里昂證券有限公司
Rep Type 4 - Advising on securities present 2003-11-11
CLSA Limited
中信里昂證券有限公司
Rep Type 6 - Advising on corporate finance present 2003-11-11
CLSA Limited
中信里昂證券有限公司
Rep Type 9 - Asset management present 2003-11-11

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