Xiaowen Li
李曉文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaowen Li (李曉文), a licensed former licensee with CE reference AUI296. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Soochow Securities International Asset Management Limited 東吳證券國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-03-07 | 2014-07-04 |
| Soochow Securities International Asset Management Limited 東吳證券國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-03-07 | 2014-07-04 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-02 | 2013-02-02 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 9 — Asset management | 2011-03-02 | 2013-02-02 |
| China Xin Yongan Futures Company Limited 中國新永安期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-01-14 | 2011-02-01 |