Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LI Zongyi

李宗沂
CE ALB938Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Zongyi (CE number ALB938) is an individual licensed by the Hong Kong SFC. First licensed on 2004-08-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

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

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSplentide Capital Limited
錦泓資本有限公司

Licence Record (5)

2016-05-23 – present Current
Splentide Capital Limited RO
RA 1 RA 4 RA 9
2012-02-22 – 2015-08-20
CMB Wing Lung Asset Management Limited RO
RA 9
2009-11-16 – 2010-04-28
EAM Investment Advisors Limited RO
RA 9
2007-11-29 – 2009-02-06
Pinpoint Investment Advisor Limited RO
RA 9
2004-08-12 – 2007-08-29
Deutsche Securities Asia Limited Rep
RA 1

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/ALB938