Li, Jian (SFC:AGO919) 李堅
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 International Capital Corporation (International) Limited | Rep | Advising on corporate finance | 2005-01-27 | Rep | Advising on securities | 2005-01-27 | Rep | Asset management | 2005-01-27 | Rep | Dealing in securities | 2006-07-13 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2015-11-10 | 2015-12-03 | Rep | Asset management | 2015-11-10 | 2017-06-22 | RO | Advising on securities | 2015-12-03 | 2017-06-22 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2010-10-07 | 2011-12-15 | Rep | Advising on corporate finance | 2011-11-24 | 2012-05-14 | RO | Dealing in securities | 2011-12-15 | RO | Advising on corporate finance | 2012-05-14 | 2015-11-10 | RO | Advising on securities | 2017-06-22 | Rep | Advising on corporate finance | 2020-07-09 |
| 4 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2006-08-15 | 2009-10-10 | Rep | Advising on corporate finance | 2006-08-16 | 2009-10-10 |
| 5 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2009-12-29 | 2010-09-22 | Rep | Dealing in securities | 2009-12-29 | 2010-09-22 |
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