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LI To Wai

李滔為
CE AYD437Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI To Wai (CE number AYD437) is an individual licensed by the Hong Kong SFC. First licensed on 2011-09-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerPlouton Asset Management Limited
弘富資產管理有限公司
Responsible OfficerSelect Investment Services Limited
弘富投資服務有限公司

Licence Record (6)

2025-09-05 – present Current
Select Investment Services Limited RO
RA 1 RA 4
2025-09-05 – present Current
Plouton Asset Management Limited RO
RA 9
2025-07-18 – 2025-09-05
Plouton Asset Management Limited Rep
RA 9
2021-03-24 – 2025-03-17
IMM Asset Management Company Limited RO
RA 1 RA 4 RA 9
2020-09-23 – 2025-09-05
Select Investment Services Limited Rep
RA 1 RA 4
2011-09-28 – 2020-04-01
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/AYD437