SFC Licences of SHI Yupeng 施宇鵬
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 6 | 24 April 2015 | 15 February 2016 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 4 | 24 April 2015 | 15 February 2016 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 24 April 2015 | 15 February 2016 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 | RE | 6 | 14 January 2015 | 01 January 2016 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 | RE | 4 | 14 January 2015 | 01 January 2016 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 | RE | 1 | 14 January 2015 | 01 January 2016 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 07 August 2014 | 28 November 2014 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 07 August 2014 | 28 November 2014 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 07 August 2014 | 28 November 2014 |