Shen, Chong 沈翀
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BC Global Asset Management Limited | Rep | Dealing in securities | 2018-08-23 | 2019-01-02 | Rep | Advising on securities | 2018-09-17 | 2019-01-02 | Rep | Asset management | 2018-09-17 | 2019-01-02 | Rep | Asset management | 2019-10-21 | 2020-03-12 |
| 2 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2013-08-02 | 2015-11-09 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2009-07-08 | 2012-12-09 | Rep | Advising on securities | 2009-07-08 | 2012-12-09 | Rep | Dealing in securities | 2009-07-08 | 2012-12-09 |
| 4 | Huarong International Capital Limited (HK) | Rep | Advising on corporate finance | 2016-07-12 | 2016-12-31 | Rep | Dealing in securities | 2016-07-12 | 2016-12-31 |
| 5 | Huarong International Securities Limited | Rep | Advising on corporate finance | 2016-02-04 | 2016-07-11 | Rep | Dealing in securities | 2016-02-04 | 2016-11-22 | RO | Dealing in securities | 2016-11-22 | 2016-12-31 | Rep | Dealing in securities | 2016-12-31 | 2016-12-31 |
| 6 | Ping An of China Capital (Hong Kong) Company Limited | Rep | Advising on corporate finance | 2017-04-12 | 2018-02-06 | RO | Advising on corporate finance | 2018-02-06 | 2018-03-24 |
| 7 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2017-04-12 | 2018-03-24 |
| 8 | SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | Rep | Asset management | 2020-05-19 | 2020-06-18 | RO | Advising on securities | 2020-06-18 | RO | Asset management | 2020-06-18 |
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