SFC Licences of DU Yuxi 杜玉曦
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RO | 4 | 21 June 2022 | 15 December 2023 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RO | 1 | 21 December 2021 | 15 December 2023 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 30 August 2021 | 21 December 2021 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 | RO | 1 | 05 February 2020 | 30 June 2021 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 | RE | 1 | 11 December 2018 | 05 February 2020 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 01 November 2013 | 01 September 2018 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 30 September 2009 | 31 October 2013 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 13 November 2008 | 16 July 2009 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 14 December 2007 | 24 October 2008 |