Kay Yuen Li
李基源
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kay Yuen Li (李基源), a licensed former licensee with CE reference ASS699. This person has 12.7 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-03-15 | 2021-12-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2021-03-07 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-06 | 2017-10-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-11-06 | 2019-05-31 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-09-20 | 2012-10-20 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-02-06 | 2012-10-20 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-06-17 | 2011-03-31 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-02 | 2012-01-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kay Yuen 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. See the detailed formula.