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LI En Tzu

李恩慈
CE BNC713Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LI En Tzu (CE number BNC713) is an individual licensed by the Hong Kong SFC. First licensed on 2018-07-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerCITIC Securities Asset Management (HK) Limited
中信證券資產管理(香港)有限公司

Licence Record (4)

2021-06-23 – present Current
CITIC Securities Asset Management (HK) Limited RO
RA 4 RA 9
2019-10-28 – 2021-05-31
CITIC Securities International Global Markets Limited Rep
RA 1 RA 2
2019-10-28 – 2021-06-23
CITIC Securities Asset Management (HK) Limited Rep
RA 4 RA 9
2018-07-27 – 2019-10-08
BC Global Asset Management Limited Rep
RA 1 RA 4 RA 9

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/BNC713