Xiao (SFC:BEH577) Li
李瀟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao (SFC:BEH577) Li (李瀟), a licensed former licensee with CE reference BEH577. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 - Dealing in securities | 2022-04-07 | 2025-11-10 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 4 - Advising on securities | 2022-04-07 | 2025-11-10 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-04-07 | 2025-11-10 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2019-10-24 | 2022-02-27 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-10-24 | 2022-02-27 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 - Dealing in securities | 2017-04-10 | 2019-07-19 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-04-10 | 2019-07-19 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-02-14 | 2017-03-10 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-02-14 | 2017-03-10 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2014-10-07 | 2016-06-25 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2014-10-07 | 2016-06-25 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-10-07 | 2016-06-25 |