Kai (SFC:BBE978) Li
李凱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai (SFC:BBE978) Li (李凱), a licensed Representative with CE reference BBE978. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. Total licence records on file: 5.
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 | 2021-06-28 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-06-28 | present |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2016-12-19 | 2018-07-24 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2014-08-13 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2013-04-29 | 2013-11-08 |