SFC Licences of NIE Shengshen 聶晟申
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Rockhampton Management Limited | RE | 9 | 03 May 2018 | 05 April 2021 |
| New China Asset Management (Hong Kong) Limited 新華資產管理(香港)有限公司 | RE | 9 | 22 December 2016 | 20 April 2018 |
| New China Asset Management (Hong Kong) Limited 新華資產管理(香港)有限公司 | RE | 4 | 22 December 2016 | 20 April 2018 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 4 | 02 May 2012 | 03 November 2016 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 4 | 09 July 2010 | 03 April 2012 |