Charles Sai Yiu Li
李世耀
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Sai Yiu Li (李世耀), CE reference AFN641. Currently licensed at 2 firm(s): HSBC Global Asset Management (Hong Kong) Limited, HSBC Investment Funds (Hong Kong) Limited. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2023-03-20 | present |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2023-03-20 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2022-10-14 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2022-09-23 | 2023-03-20 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2022-09-23 | 2023-03-20 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2022-09-23 | 2023-03-20 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2016-02-16 | 2022-07-15 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-02-01 | 2016-02-16 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2010-03-04 | 2016-01-22 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-02-08 | 2016-02-16 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2006-08-09 | 2009-08-01 |
| Allianz Global Investors Hong Kong Limited | Rep | Type 4 — Advising on securities | 2006-07-06 | 2009-08-01 |
| TC Investment Management (Asia) Limited 同創投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2003-11-03 | 2006-06-23 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-01 |
| Fortis Investment Management Asia Limited 富通基金管理亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-01 |