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LI Zhisen

李志森
CE AQN004Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Zhisen (CE number AQN004) is an individual licensed by the Hong Kong SFC. First licensed on 2008-02-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 5 (Advising on futures). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 5 Advising on Futures Contracts

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerChina Industrial Securities International Asset Management Limited
興證國際資產管理有限公司
Responsible OfficerChina Industrial Securities International Brokerage Limited
興證國際證券有限公司
Responsible OfficerChina Industrial Securities International Futures Limited
興證國際期貨有限公司

Licence Record (6)

2023-10-18 – present Current
China Industrial Securities International Brokerage Limited RO
RA 1
2015-01-14 – present Current
China Industrial Securities International Asset Management Limited RO
RA 5
2013-01-04 – present Current
China Industrial Securities International Futures Limited RO
RA 2
2014-09-22 – 2023-10-18
China Industrial Securities International Brokerage Limited Rep
RA 1
2011-03-02 – 2012-11-01
China International Futures (Hong Kong) Company Limited RO
RA 2
2008-02-19 – 2011-03-02
China International Futures (Hong Kong) Company Limited Rep
RA 2

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/AQN004