Kwok Yin Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Yin Li (李國賢), a licensed Representative with CE reference AOY769. Currently licensed at 1 firm(s): HSBC Broking Securities (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities. This person has 18.0 years of SFC licence history. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-08-03 | 2026-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2026-08-03 | 2026-11-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-11-13 | 2026-11-01 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2018-11-13 | 2026-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2018-11-13 | 2026-08-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-10-12 | 2026-08-02 |
| Good Harvest Securities Company Limited 豐年證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2018-05-02 | 2018-09-07 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-02-27 | 2016-12-20 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2007-08-17 | 2016-12-20 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-25 | 2016-12-20 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-05-25 | 2016-12-20 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-05-25 | 2013-01-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Yin Li during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.