Xiao (SFC:AOH927) Li
李皛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao (SFC:AOH927) Li (李皛), a licensed former licensee with CE reference AOH927. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-01 | 2019-06-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-06-01 | 2019-06-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 9 - Asset management | 2017-06-01 | 2019-06-01 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 4 - Advising on securities | 2011-06-13 | 2017-03-31 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 9 - Asset management | 2011-06-13 | 2017-03-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 - Advising on securities | 2008-12-01 | 2010-03-08 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2006-12-22 | 2008-11-11 |