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LI Sung Tat

李崇達
CE AUN103Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Sung Tat (CE number AUN103) is an individual licensed by the Hong Kong SFC. First licensed on 2010-02-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

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

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerShenwan Hongyuan Capital (H.K.) Limited
申萬宏源融資(香港)有限公司
Responsible OfficerShenwan Hongyuan Securities (H.K.) Limited
申萬宏源證券(香港)有限公司
RepresentativeShenwan Hongyuan Capital (H.K.) Limited
申萬宏源融資(香港)有限公司

Licence Record (17)

2024-02-23 – present Current
Shenwan Hongyuan Capital (H.K.) Limited RO
RA 1
2024-02-23 – present Current
Shenwan Hongyuan Securities (H.K.) Limited RO
RA 1
2023-08-31 – present Current
Shenwan Hongyuan Capital (H.K.) Limited Rep
RA 1 RA 6
2023-08-31 – 2024-02-23
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2022-03-07 – 2023-06-01
China Merchants Securities (HK) Co., Limited RO
RA 1
2021-11-05 – 2023-06-01
China Merchants Securities (HK) Co., Limited Rep
RA 1 RA 6
2021-08-12 – 2021-10-12
First Prosperous Capital Company Limited RO
RA 1 RA 6
2019-06-18 – 2021-07-30
GF Securities (Hong Kong) Brokerage Limited Rep
RA 1
2019-06-18 – 2021-07-30
GF Capital (Hong Kong) Limited Rep
RA 6
2018-10-31 – 2019-05-26
CMBC International Capital Limited RO
RA 1
2018-06-11 – 2019-05-26
CMBC Securities Company Limited Rep
RA 1
2018-06-11 – 2019-05-26
CMBC International Capital Limited Rep
RA 1 RA 6
2014-07-22 – 2018-05-21
China Securities (International) Brokerage Company Limited Rep
RA 1
2014-07-22 – 2018-05-21
China Securities (International) Corporate Finance Company Limited Rep
RA 1 RA 6
2011-08-25 – 2014-07-04
Haitong International Securities Company Limited Rep
RA 1
2010-02-12 – 2010-03-19
Kaiser Securities Limited Rep
RA 1
2010-02-12 – 2010-03-19
Kaiser Futures 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/AUN103