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LI Shuo

李碩
CE BCY584Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI Shuo (CE number BCY584) is an individual licensed by the Hong Kong SFC. First licensed on 2014-03-06. 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 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

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

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGoldhorse Capital Management (HK) Limited
金馬資本管理(香港)有限公司
Responsible OfficerGoldhorse Securities Limited
金馬證券有限公司

Licence Record (10)

2025-12-03 – present Current
Goldhorse Capital Management (HK) Limited RO
RA 1 RA 4
2025-09-30 – present Current
Goldhorse Securities Limited RO
RA 1 RA 4
2025-09-30 – 2025-10-17
Gentleman Capital Limited RO
RA 9
2025-08-27 – 2025-09-30
Goldhorse Securities Limited Rep
RA 1 RA 4
2025-08-27 – 2025-09-30
Gentleman Capital Limited Rep
RA 9
2021-09-20 – 2025-05-06
Huatai Financial Holdings (Hong Kong) Limited RO
RA 1 RA 2 RA 3 RA 4
2021-06-17 – 2025-05-06
Huatai Financial Holdings (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 9
2020-07-29 – 2021-04-30
Haitong International Securities Company Limited RO
RA 1
2014-03-06 – 2021-04-30
Haitong International Securities Company Limited Rep
RA 1 RA 4
2014-03-06 – 2021-04-30
Haitong International 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/BCY584