LI Sai Yiu, Charles

李世耀

CE AFN641Licensed IndividualResponsible OfficerSFO licence active

LI Sai Yiu, Charles (CE number AFN641) 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 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	HSBC Global Asset Management (Hong Kong) Limited
Responsible Officer	HSBC Investment Funds (Hong Kong) Limited

Licence Record (9)

2023-03-20 – present Current

HSBC Global Asset Management (Hong Kong) Limited RO

RA 1 RA 4 RA 9

2023-03-20 – present Current

HSBC Investment Funds (Hong Kong) Limited RO

RA 1 RA 4 RA 9

2022-09-23 – 2023-03-20

HSBC Global Asset Management (Hong Kong) Limited Rep

RA 1 RA 4 RA 9

2022-09-23 – 2023-03-20

HSBC Investment Funds (Hong Kong) Limited Rep

RA 1 RA 4 RA 9

2016-02-16 – 2022-07-15

UBS Asset Management (Hong Kong) Limited RO

RA 1 RA 4

2010-02-08 – 2016-02-16

UBS Asset Management (Hong Kong) Limited Rep

RA 1 RA 4 RA 9

2006-07-06 – 2009-08-01

Allianz Global Investors Hong Kong Limited Rep

RA 1 RA 4

2003-11-03 – 2006-06-23

TC Investment Management (Asia) Limited Rep

RA 4

2003-04-01 – 2003-05-01

Fortis Investment Management Asia Limited Rep

RA 1 RA 4 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/AFN641