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LI Ming

李明
CE BAV336Licensed IndividualSFO licence active
Official SFC record

LI Ming (CE number BAV336) is an individual licensed by the Hong Kong SFC. First licensed on 2013-02-05. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeHaitong International Futures Limited
海通國際期貨有限公司
RepresentativeHaitong International Securities Company Limited
海通國際證券有限公司

Licence Record (7)

2024-10-10 – present Current
Haitong International Securities Company Limited Rep
RA 1 RA 4
2024-10-10 – present Current
Haitong International Futures Limited Rep
RA 2 RA 5
2022-08-17 – 2024-09-06
Guotai Junan Futures (Hong Kong) Limited Rep
RA 2 RA 5
2022-08-17 – 2024-09-06
Guotai Junan FX Limited Rep
RA 3
2021-04-13 – 2024-09-06
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2019-08-16 – 2021-03-16
Goldhorse Capital Management (HK) Limited Rep
RA 1 RA 4 RA 9
2013-02-05 – 2019-07-19
BOCI Securities Limited Rep
RA 1 RA 4

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/BAV336