Ka Yiu Li
李家耀
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yiu Li (李家耀), a licensed Representative with CE reference AUC295. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-06-06 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-06-06 | present |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-05 | 2015-12-16 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-08-20 | 2014-11-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-06-08 | 2014-11-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2010-06-08 | 2014-11-04 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-06-08 | 2010-08-20 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-11-09 | 2010-05-28 |