Li, Chi Wai (SFC:ALY313) 李志偉
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 | Asia Cornerstone Asset Management Company Limited | Rep | Asset management | 2019-06-11 | 2019-07-05 | RO | Asset management | 2019-07-05 | 2021-08-13 |
| 2 | CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2005-04-23 | 2005-06-06 |
| 3 | Creekfront Capital Limited | RO | Advising on securities | 2024-02-05 | RO | Asset management | 2024-02-05 |
| 4 | EMPEROR FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-01-10 | 2011-03-31 |
| 5 | EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2007-06-27 | 2011-03-31 |
| 6 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2008-01-10 | 2015-07-24 |
| 7 | FIVE STATES CAPITAL RESOURCES LIMITED | Rep | Advising on securities | 2018-04-04 | 2018-06-21 | Rep | Asset management | 2018-04-04 | 2018-09-03 | RO | Dealing in securities | 2018-06-05 | 2019-04-22 | RO | Advising on securities | 2018-06-21 | 2019-04-22 | RO | Asset management | 2018-09-03 | 2019-04-22 |
| 8 | GEO Securities Limited | Rep | Dealing in securities | 2017-07-20 | 2017-10-16 | RO | Advising on securities | 2017-10-16 | 2018-02-12 | RO | Dealing in securities | 2017-10-16 | 2018-02-12 |
| 9 | Minerva Holding Financial Securities Limited | Rep | Dealing in securities | 2015-08-14 | 2017-06-10 |
| 10 | UNITED ZONE INVESTMENT LIMITED | Rep | Asset management | 2021-08-31 | 2021-11-12 | RO | Dealing in futures contracts | 2021-11-12 | 2022-08-12 | RO | Advising on securities | 2021-11-12 | 2023-12-31 | RO | Asset management | 2021-11-12 | 2023-12-31 | RO | Dealing in securities | 2021-11-12 | 2023-12-31 | RO | Dealing in futures contracts | 2023-08-29 | 2023-12-31 |
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