SFC licenceholder AOT416 SHEN Hua 沈華
Licences
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Updated: 25 February 2020
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 | RO | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 05 April 2016 | |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 | RE | [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) | 24 February 2016 | 05 April 2016 |
| CM Securities (Hongkong) Company Limited 中民證券(香港)有限公司 | RO | [1] (Dealing in Securities) | 03 December 2013 | 29 September 2015 |
| Alphamax Asset Management (HK) Limited 利升資產管理(香港)有限公司 | RO | [9] (Asset Management) | 06 August 2012 | 14 February 2016 |
| VTB Capital Hong Kong Limited | RO | [1] (Dealing in Securities), [4] (Advising on Securities) | 30 June 2011 | 08 December 2011 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RO | [1] (Dealing in Securities) | 31 December 2010 | 19 March 2011 |
| MUSHK Limited | RO | [1] (Dealing in Securities) | 17 August 2009 | 19 March 2011 |
| MUSHK Limited | RE | [1] (Dealing in Securities) | 02 April 2007 | 17 August 2009 |