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LI Kathy

李嘉怡
CE AGW424Licensed IndividualExecutive OfficerNo active licence
Official SFC record

LI Kathy (CE number AGW424) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerChina CITIC Bank International Limited
中信銀行(國際)有限公司

Licence Record (4)

2010-11-20 – 2012-06-20
Daiwa Capital Markets Hong Kong Limited Rep
RA 1
2010-11-02 – 2012-06-20
Daiwa Capital Markets Trading Hong Kong Limited Rep
RA 1
2004-01-15 – 2010-11-20
KBC Financial Products Hong Kong Limited Rep
RA 1
2003-04-01 – 2004-01-03
NNIP Hong Kong Limited Rep
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/AGW424