SFC Licences of SHEN Xiaotong 沈晓通

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Haitong International Securities Company Limited 海通國際證券有限公司 RE 4 16 September 2021
Haitong International Capital Limited 海通國際資本有限公司 RE 6 16 August 2021
Haitong International Securities Company Limited 海通國際證券有限公司 RE 1 16 August 2021
CMB International Capital Limited 招銀國際融資有限公司 RE 6 14 December 2020 22 February 2021
CMB International Capital Limited 招銀國際融資有限公司 RE 1 14 December 2020 22 February 2021
CCB International Capital Limited 建銀國際金融有限公司 RE 6 26 February 2019 27 November 2020
CCB International Capital Limited 建銀國際金融有限公司 RE 4 26 February 2019 27 November 2020
CCB International Capital Limited 建銀國際金融有限公司 RE 1 26 February 2019 27 November 2020
GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 RE 1 15 December 2014 19 July 2018
GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 RE 6 15 December 2014 19 July 2018
GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 RE 6 05 June 2012 17 October 2014
GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 RE 1 05 June 2012 17 October 2014
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 6 22 February 2011 31 December 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 22 February 2011 31 December 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 22 February 2011 31 December 2011