SFC licenceholder AHI943 ZHU Qizhi 朱奇志
Licences
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 | RO | 1 (Dealing in Securities) | 2010-06-15 | 2013-04-12 |
| CMB International Asset Management Limited 招銀國際資產管理有限公司 | RO | 4 (Advising on Securities), 9 (Asset Management) | 2010-05-26 | 2013-04-12 |
| CMB International Capital Holdings Corporation Limited | RO | 1 (Dealing in Securities) | 2009-07-15 | 2011-05-05 |
| CMB International Capital Holdings Corporation Limited | RE | 1 (Dealing in Securities) | 2009-06-17 | 2009-07-15 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 | RO | 9 (Asset Management) | 2008-06-12 | 2009-06-01 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 | RE | 9 (Asset Management) | 2005-04-20 | 2008-06-12 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RO | 1 (Dealing in Securities) | 2003-05-07 | 2009-06-01 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RO | 7 (Providing Automated Trading Services) | 2003-05-07 | 2003-08-26 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 7 (Providing Automated Trading Services) | 2003-04-25 | 2003-05-07 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 1 (Dealing in Securities) | 2003-04-01 | 2003-05-07 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 | RE | 9 (Asset Management), 4 (Advising on Securities), 6 (Advising on Corporate Finance) | 2003-04-01 | 2003-04-25 |