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 Mingjiang

李明江
CE ANG396Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Mingjiang (CE number ANG396) is an individual licensed by the Hong Kong SFC. First licensed on 2006-05-11. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerFirst Shanghai Securities Limited
第一上海證券有限公司

Licence Record (4)

2012-11-05 – present Current
First Shanghai Securities Limited RO
RA 4
2012-06-28 – 2012-10-31
China Alpha Fund Management (HK) Limited RO
RA 4
2010-07-05 – 2012-10-31
China Alpha Fund Management (HK) Limited Rep
RA 4 RA 9
2006-05-11 – 2010-06-30
First Shanghai Securities Limited Rep
RA 4

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/ANG396