SFC Licences of SHI Jiangnan 施江南
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 14 April 2023 | 17 October 2023 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 14 April 2023 | 17 October 2023 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 09 April 2021 | 05 August 2022 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 1 | 09 April 2021 | 05 August 2022 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 09 April 2021 | 05 August 2022 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 05 July 2018 | 16 February 2021 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 05 July 2018 | 16 February 2021 |
| J.P. Morgan Securities (Far East) Limited | RE | 4 | 05 July 2018 | 16 February 2021 |
| J.P. Morgan Securities (Far East) Limited | RE | 1 | 05 July 2018 | 16 February 2021 |