SFC Licences of CAO Shaoshan 曹少山
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 | RE | 6 | 13 November 2008 | 19 June 2009 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 | RE | 6 | 23 August 2006 | 16 October 2008 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 13 May 2004 | 25 July 2006 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 6 | 13 May 2004 | 25 July 2006 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 13 May 2004 | 25 July 2006 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 6 | 01 April 2003 | 15 April 2004 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 4 | 01 April 2003 | 15 April 2004 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 9 | 01 April 2003 | 15 April 2004 |