Yi Sum Li
李懿沁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi Sum Li (李懿沁), a licensed Representative with CE reference AXF706. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; 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 | 2021-01-07 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-01-07 | 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 | 2021-01-07 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-16 | 2020-12-28 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-08-16 | 2020-12-28 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-05-03 | 2015-11-30 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2015-11-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-05-03 | 2015-11-30 |