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LI Ming, Doris

李敏
CE ANB826Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Ming, Doris (CE number ANB826) is an individual licensed by the Hong Kong SFC. First licensed on 2006-04-12. 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 OfficerYongan Guofu Asset Management (Hong Kong) Company Limited
永安國富資產管理(香港)有限公司

Licence Record (8)

2021-08-26 – present Current
Yongan Guofu Asset Management (Hong Kong) Company Limited RO
RA 4 RA 9
2021-08-25 – 2021-08-26
Yongan Guofu Asset Management (Hong Kong) Company Limited Rep
RA 4 RA 9
2019-06-20 – 2020-01-30
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO
RA 1 RA 4 RA 9
2018-08-16 – 2019-06-11
JMC Capital HK Limited RO
RA 1 RA 4 RA 9
2015-03-03 – 2017-11-30
China Enterprise Securities Company Limited RO
RA 1 RA 4 RA 9
2013-03-25 – 2015-03-03
China Enterprise Securities Company Limited Rep
RA 1 RA 4 RA 9
2007-08-23 – 2010-09-08
Newmount Investment Management (Asia) Limited RO
RA 4 RA 9
2006-04-12 – 2007-08-23
Newmount Investment Management (Asia) 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/ANB826