Sean Chok Sun Li
李濯新
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Chok Sun Li (李濯新), a licensed former licensee with CE reference AAE952. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-07-23 | 2023-04-03 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-07-23 | 2023-04-03 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-03 | 2014-07-23 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-04-03 | 2014-07-23 |
| BERKSHIRE CAPITALS LIMITED 伯克希爾資本有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-13 | 2014-03-20 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-10 | 2014-01-31 |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-10-10 | 2014-01-31 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-02-26 | 2012-10-05 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-20 | 2012-10-05 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-22 | 2004-03-22 |
| CSC Financial Services Limited 群益金融服務有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-08-11 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-08-11 |
| CSC Financial Services Limited 群益金融服務有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-08 |
| CSC Financial Services Limited 群益金融服務有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-08 |
| CSC Financial Services Limited 群益金融服務有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-08 |