Ka Ying Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Ying Li (李家盈), a licensed Responsible Officer with CE reference ANM710. Currently licensed at 1 firm(s): Guangdong Capital Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.1 years of SFC licence history. Total licence records on file: 23.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-09-06 | present |
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 4 - Advising on securities | 2021-09-06 | present |
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 9 - Asset management | 2021-09-06 | present |
| Fairwin Broking Limited 海富證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-09-14 | 2021-02-28 |
| Fairwin Broking Limited 海富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-16 | 2017-09-14 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-07-20 | 2017-08-07 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
RO | Type 4 - Advising on securities | 2017-07-20 | 2017-08-07 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-28 | 2017-07-20 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-06-28 | 2017-07-20 |
| China Enterprise Securities Company Limited 華業金控證券有限公司 |
Rep | Type 9 - Asset management | 2017-06-28 | 2017-08-07 |
| Fairwin Broking Limited 海富證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-10-03 | 2017-05-05 |
| Fairwin Broking Limited 海富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-08-17 | 2016-10-03 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-06-20 | 2016-08-11 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-06-20 | 2016-08-11 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
RO | Type 4 - Advising on securities | 2015-01-07 | 2016-06-20 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-12-15 | 2016-06-20 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-05-09 | 2014-12-15 |
| Metro Capital Futures Limited 美高期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-12-23 | 2014-05-02 |
| M&F Asset Management Limited 渼豐資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-02-22 | 2014-05-02 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-04-18 | 2013-02-16 |
| North Beta International Securities Limited 北拓國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-07-23 | 2012-03-30 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-09-25 | 2009-06-01 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-25 | 2009-06-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Ying Li during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.