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LI Heung

李响
CE AYO826Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Heung (CE number AYO826) is an individual licensed by the Hong Kong SFC. First licensed on 2012-06-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCITIC Securities (Hong Kong) Limited
中信證券(香港)有限公司
Responsible OfficerCLSA Limited
中信里昂證券有限公司

Licence Record (6)

2022-10-12 – present Current
CLSA Limited RO
RA 1
2022-10-12 – present Current
CITIC Securities (Hong Kong) Limited RO
RA 4 RA 6
2018-08-15 – 2022-10-12
CLSA Limited Rep
RA 1 RA 4
2018-06-04 – 2022-10-12
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2016-12-19 – 2018-03-15
UBS Securities Hong Kong Limited Rep
RA 6
2012-06-07 – 2016-12-18
UBS Securities Hong Kong Limited Rep
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/AYO826