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LI Zemin

李則旻
CE ACN988Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Zemin (CE number ACN988) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerOcean Arete Limited
海德資產管理有限公司

Licence Record (8)

2014-08-18 – present Current
Ocean Arete Limited RO
RA 9
2013-12-18 – 2014-08-18
OP Investment Management Limited Rep
RA 9
2012-05-24 – 2012-06-02
Deutsche Securities Asia Limited Rep
RA 6
2009-03-26 – 2010-07-14
Ocean Capital Management Limited RO
RA 9
2008-09-12 – 2009-01-09
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4 RA 6
2008-09-12 – 2009-01-09
Merrill Lynch Far East Limited Rep
RA 1 RA 4 RA 6
2003-10-17 – 2005-04-07
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 1
2003-04-01 – 2005-04-07
Citigroup Global Markets Asia Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ACN988