SFC Licences of DU Xu 杜栩
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 4 | 10 September 2021 | |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 6 | 12 August 2021 | |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 1 | 12 August 2021 | |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 12 August 2021 | |
| Zhongtai International Capital Limited 中泰國際融資有限公司 | RE | 6 | 25 July 2019 | 29 July 2021 |
| Zhongtai International Capital Limited 中泰國際融資有限公司 | RE | 1 | 25 July 2019 | 29 July 2021 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 | RE | 1 | 25 July 2019 | 29 July 2021 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 | RE | 1 | 18 March 2016 | 28 May 2019 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 | RE | 6 | 28 March 2012 | 28 May 2019 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 | RE | 1 | 28 March 2012 | 28 May 2019 |