Wai Yin (SFC:ANR354) Li
李慧妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yin (SFC:ANR354) Li (李慧妍), a licensed former licensee with CE reference ANR354. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-06-27 | 2013-03-16 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-06-24 | 2012-06-16 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-26 | 2010-06-07 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2010-03-11 | 2010-04-08 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-07-09 | 2010-03-05 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-13 | 2010-03-05 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-30 | 2007-05-28 |