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LI Yan

李妍
CE ANQ250Licensed IndividualExecutive OfficerNo active licence
Official SFC record

LI Yan (CE number ANQ250) is an individual licensed by the Hong Kong SFC. First licensed on 2006-08-16. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerDeutsche Bank Aktiengesellschaft

Licence Record (5)

2008-05-16 – 2010-09-06
Merrill Lynch Futures (Hong Kong) Limited Rep
RA 2
2008-04-20 – 2014-03-15
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2008-04-20 – 2014-03-15
Merrill Lynch Far East Limited Rep
RA 1 RA 2
2007-09-13 – 2007-12-19
Citigroup Global Markets Asia Limited Rep
RA 1 RA 4 RA 6
2006-08-16 – 2007-08-20
Morgan Stanley 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/ANQ250