Xiaozhou Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaozhou Li (李小舟), a licensed Responsible Officer with CE reference AXL142. Currently licensed at 1 firm(s): Marlin Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 3.5 years of SFC licence history. Total licence records on file: 14.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 1 - Dealing in securities | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 4 - Advising on securities | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
RO | Type 9 - Asset management | 2025-07-30 | present |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 1 - Dealing in securities | 2025-07-08 | 2025-07-30 |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 4 - Advising on securities | 2025-07-08 | 2025-07-30 |
| Marlin Capital Limited 馬林資本有限公司 |
Rep | Type 9 - Asset management | 2025-07-08 | 2025-07-30 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2023-07-07 | 2025-05-16 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-06-01 | 2022-12-14 |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2022-06-01 | 2022-12-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-20 | 2011-08-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2011-06-20 | 2011-08-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-06-20 | 2011-08-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiaozhou 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.