Li, Yan (SFC:AQM744) 李嫣
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | Rep | Dealing in securities | 2008-11-03 | 2009-10-12 | Rep | Advising on securities | 2008-12-08 | 2009-10-12 |
| 2 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2008-03-31 | 2008-09-27 |
| 3 | Rakuten Securities Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2010-01-18 | 2011-08-15 |
| 4 | State Street Securities Hong Kong Limited | Rep | Dealing in securities | 2023-05-29 | 2024-05-31 |
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