Yan (SFC:BRO855) Li
李燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:BRO855) Li (李燕), a licensed former licensee with CE reference BRO855. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-12-13 | 2025-08-03 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-11-22 | 2025-08-03 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2021-08-09 | 2021-08-11 |