Zhe (SFC:AOT398) Li
李喆
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhe (SFC:AOT398) Li (李喆), a licensed former licensee with CE reference AOT398. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Springs Capital (Hong Kong) Limited 淡水泉(香港)投資管理有限公司 |
RO | Type 4 — Advising on securities | 2012-07-12 | 2018-09-06 |
| Springs Capital (Hong Kong) Limited 淡水泉(香港)投資管理有限公司 |
RO | Type 9 — Asset management | 2012-07-12 | 2018-09-06 |
| Springs Capital (Hong Kong) Limited 淡水泉(香港)投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-12-29 | 2012-07-12 |
| Springs Capital (Hong Kong) Limited 淡水泉(香港)投資管理有限公司 |
Rep | Type 9 — Asset management | 2011-12-29 | 2012-07-12 |
| Hamon Asset Management Limited | Rep | Type 4 — Advising on securities | 2011-07-12 | 2011-12-17 |
| Hamon Asset Management Limited | Rep | Type 5 — Advising on futures contracts | 2011-07-12 | 2011-12-17 |
| PFP Capital Limited | Rep | Type 5 — Advising on futures contracts | 2011-07-12 | 2011-12-17 |
| Hamon Asian Advisors Limited | Rep | Type 9 — Asset management | 2011-07-12 | 2011-12-17 |
| Hamon Asset Management Limited | Rep | Type 9 — Asset management | 2011-07-12 | 2011-12-17 |
| PFP Capital Limited | Rep | Type 9 — Asset management | 2011-07-12 | 2011-12-17 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-04-06 | 2011-04-08 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-02 | 2011-04-08 |