SFC licenceholder AOT416 SHEN Hua 沈華
Licences
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 | RO | 9 (Asset Management), 1 (Dealing in Securities), 4 (Advising on Securities) | 2016-04-05 | |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 9 (Asset Management) | 2016-02-24 | 2016-04-05 |
| China Vered Securities Limited 中薇證券有限公司 | RO | 1 (Dealing in Securities) | 2013-12-03 | 2015-09-29 |
| Alphamax Asset Management (HK) Limited 利升資產管理(香港)有限公司 | RO | 9 (Asset Management) | 2012-08-06 | 2016-02-14 |
| VTB Capital Hong Kong Limited | RO | 4 (Advising on Securities), 1 (Dealing in Securities) | 2011-06-30 | 2011-12-08 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RO | 1 (Dealing in Securities) | 2010-12-31 | 2011-03-19 |
| MUSHK Limited | RO | 1 (Dealing in Securities) | 2009-08-17 | 2011-03-19 |
| MUSHK Limited | RE | 1 (Dealing in Securities) | 2007-04-02 | 2009-08-17 |