SFC Licences of MOU Alex Xinghai

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RO	9	28 June 2017	27 December 2018
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RO	4	28 June 2017	27 December 2018
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RE	9	11 April 2017	28 June 2017
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RE	4	11 April 2017	28 June 2017
Shinhan Asset Management (Hong Kong) Limited	RO	9	31 January 2011	31 March 2017
Shinhan Asset Management (Hong Kong) Limited	RO	4	31 January 2011	31 March 2017
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	1	08 September 2009	01 January 2011
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RO	9	21 July 2009	01 January 2011
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RO	4	21 July 2009	01 January 2011
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RE	9	27 April 2009	21 July 2009
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司	RE	4	27 April 2009	21 July 2009
China Everbright Assets Management Limited 中國光大資產管理有限公司	RE	9	08 March 2007	06 October 2007
Brooke Capital Limited	RE	9	29 December 2005	16 October 2006
Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司	RE	4	15 August 2003	01 September 2004