Li Sze Sia
謝理思
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li Sze Sia (謝理思), a licensed former licensee with CE reference AOB331. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-13 | 2009-02-05 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-13 | 2009-02-05 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | Rep | Type 1 — Dealing in securities | 2007-10-11 | 2009-02-05 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | Rep | Type 6 — Advising on corporate finance | 2007-10-11 | 2009-02-05 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-16 | 2007-07-25 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-10-16 | 2007-07-25 |