Ming (SFC:BAV336) Li
李明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming (SFC:BAV336) Li (李明), CE reference BAV336. Currently licensed at 2 firm(s): Haitong International Securities Company Limited, Haitong International Futures Limited. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-10-10 | present |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2024-10-10 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2024-10-10 | present |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2024-10-10 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-08-17 | 2024-09-06 |
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2022-08-17 | 2024-09-06 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2022-08-17 | 2024-09-06 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-13 | 2024-09-06 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-13 | 2024-09-06 |
| Goldhorse Capital Management (HK) Limited 金馬資本管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-10-03 | 2021-03-16 |
| Goldhorse Capital Management (HK) Limited 金馬資本管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-16 | 2021-03-16 |
| Goldhorse Capital Management (HK) Limited 金馬資本管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-16 | 2021-03-16 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-02-05 | 2019-07-19 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-02-05 | 2019-07-19 |