Li Cao
曹立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li Cao (曹立), a licensed former licensee with CE reference BOS632. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2022-07-11 | 2022-10-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2022-07-11 | 2022-10-31 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2022-07-11 | 2022-10-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2022-07-11 | 2022-10-31 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-05-28 | 2022-04-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2020-05-28 | 2022-04-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-21 | 2022-04-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-08-21 | 2022-04-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-21 | 2022-04-22 |