Mou, Alex Xinghai
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 | BROOKE CAPITAL LIMITED | Rep | Asset management | 2005-12-29 | 2006-10-16 |
| 2 | CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED | Rep | Asset management | 2007-03-08 | 2007-10-06 |
| 3 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on securities | 2003-08-15 | 2004-09-01 |
| 4 | SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2009-04-27 | 2009-07-21 | Rep | Asset management | 2009-04-27 | 2009-07-21 | RO | Advising on securities | 2009-07-21 | 2011-01-01 | RO | Asset management | 2009-07-21 | 2011-01-01 | Rep | Advising on securities | 2017-04-11 | 2017-06-28 | Rep | Asset management | 2017-04-11 | 2017-06-28 | RO | Advising on securities | 2017-06-28 | 2018-12-27 | RO | Asset management | 2017-06-28 | 2018-12-27 |
| 5 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2009-09-08 | 2011-01-01 |
| 6 | Shinhan Asset Management (Hong Kong) Limited | RO | Advising on securities | 2011-01-31 | 2017-03-31 | RO | Asset management | 2011-01-31 | 2017-03-31 |
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