Li, Chiu Yee 李昭儀
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 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on corporate finance | 2013-03-15 | 2014-05-03 | Rep | Advising on securities | 2013-03-15 | 2014-05-03 | Rep | Dealing in securities | 2013-03-15 | 2014-05-03 |
| 2 | China Securities (International) Brokerage Company Limited | Rep | Advising on securities | 2014-07-08 | 2016-07-01 | Rep | Dealing in securities | 2015-03-27 | 2016-07-01 |
| 3 | China Securities (International) Corporate Finance Company Limited | Rep | Advising on corporate finance | 2014-07-08 | 2016-07-01 | Rep | Dealing in securities | 2014-07-08 | 2016-07-01 |
| 4 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2004-04-01 | 2005-10-01 | Rep | Dealing in securities | 2004-04-01 | 2005-10-01 |
| 5 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Advising on corporate finance | 2016-10-17 | 2017-03-31 | Rep | Advising on securities | 2016-10-17 | 2018-06-19 | Rep | Dealing in securities | 2016-10-17 | 2018-06-19 | RO | Advising on corporate finance | 2017-03-31 | 2018-06-19 |
| 6 | Paradigm Advisors Holdings (Hong Kong) Limited | Rep | Advising on corporate finance | 2022-03-31 | 2022-04-19 | Rep | Advising on securities | 2022-03-31 | 2022-04-19 | RO | Advising on corporate finance | 2022-04-19 | RO | Advising on securities | 2022-04-19 |
| 7 | Quam Securities Limited | Rep | Advising on corporate finance | 2019-02-21 | 2019-04-30 | Rep | Dealing in securities | 2019-02-21 | 2019-04-30 | Rep | Advising on securities | 2019-04-11 | 2019-04-30 |
| 8 | Renco Capital Partners Limited | Rep | Advising on corporate finance | 2019-10-30 | 2019-12-19 | Rep | Dealing in securities | 2019-10-30 | 2019-12-19 | RO | Advising on corporate finance | 2019-12-19 | 2021-02-24 | RO | Dealing in securities | 2019-12-19 | 2021-02-24 |
| 9 | Renco Investments Limited | Rep | Advising on securities | 2019-10-30 | 2021-05-20 |
| 10 | Rothschild & Co Hong Kong Limited | Rep | Advising on corporate finance | 2005-10-27 | 2009-06-16 | Rep | Dealing in securities | 2005-10-27 | 2009-06-16 | Rep | Advising on securities | 2005-11-02 | 2009-06-16 |
| 11 | Trinity Corporate Finance Limited (VG) | RO | Advising on corporate finance | 2019-01-15 | 2019-02-11 | Rep | Advising on corporate finance | 2021-10-12 | 2021-11-08 | RO | Advising on corporate finance | 2021-11-08 | 2022-01-31 |
| 12 | Trinity Financial Group Limited | RO | Dealing in securities | 2019-01-15 | 2019-02-11 |
| 13 | Yuanta Securities (Hong Kong) Company Limited | Rep | Advising on corporate finance | 2010-04-27 | 2013-03-07 | Rep | Advising on securities | 2010-04-27 | 2013-03-07 | Rep | Dealing in securities | 2010-04-27 | 2013-03-07 |
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