LI Ying

李鷹

CE AUG645Licensed IndividualResponsible OfficerSFO licence active

LI Ying (CE number AUG645) is an individual licensed by the Hong Kong SFC. First licensed on 2011-08-24. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	Alpha Win Capital Limited 中源國際資本有限公司

Licence Record (10)

2020-07-20 – present Current

Alpha Win Capital Limited RO

RA 1 RA 4 RA 9

2018-05-03 – 2019-11-05

BOCOM International Asset Management Limited RO

RA 9

2015-04-30 – 2019-11-05

BOCOM International (Asia) Limited RO

RA 1 RA 6

2015-04-30 – 2019-11-05

BOCOM International Securities Limited RO

RA 1 RA 4

2015-02-09 – 2015-04-30

BOCOM International (Asia) Limited Rep

RA 1 RA 6

2015-02-09 – 2015-04-30

BOCOM International Securities Limited Rep

RA 1 RA 4

2015-02-09 – 2018-05-03

BOCOM International Asset Management Limited Rep

RA 9

2012-09-25 – 2014-12-01

ICBC International Research Limited RO

RA 4

2011-08-24 – 2014-12-01

ICBC International Securities Limited RO

RA 1 RA 4

2011-08-24 – 2012-08-24

ICBC International Capital Limited RO

RA 1 RA 6

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/AUG645