Wai Kong Li
李偉江
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Kong Li (李偉江), a licensed former licensee with CE reference ADU318. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-28 | 2019-05-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-06-28 | 2019-05-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-28 | 2019-05-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2017-06-28 | 2019-05-31 |
| Maunakai Capital Partners (Hong Kong) Limited 鼎勝資產管理有限公司 |
RO | Type 4 — Advising on securities | 2010-12-21 | 2012-07-31 |
| Maunakai Capital Partners (Hong Kong) Limited 鼎勝資產管理有限公司 |
RO | Type 9 — Asset management | 2010-12-21 | 2012-07-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2003-10-16 | 2009-06-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-06-24 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | present | 2009-06-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-16 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-16 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 — Asset management | present | 2003-10-13 |