Li (SFC:BMV473) Chen
陳莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:BMV473) Chen (陳莉), a licensed former licensee with CE reference BMV473. Total licence records on file: 4.
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 |
RO | Type 1 — Dealing in securities | 2018-11-26 | 2023-04-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-11-26 | 2024-09-04 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-08-16 | 2018-11-26 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-08-16 | 2018-11-26 |