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