Su, Shan (SFC:AOU240) 蘇珊
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2007-04-16 | 2008-12-11 |
2 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2007-04-16 | 2008-12-11 |
3 | Credit Suisse Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2007-04-16 | 2008-12-11 |
4 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2008-11-12 | 2008-12-11 |
5 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-11-12 | 2008-12-11 |
6 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2009-09-09 | 2010-09-01 |
7 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Dealing in securities | 2009-09-09 | 2010-09-01 |
8 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2014-07-02 | 2018-07-31 |
9 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2014-07-02 | 2018-07-31 |
10 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2014-07-02 | 2018-07-31 |
11 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2014-07-02 | 2018-07-31 |
12 | Merrill Lynch Far East Limited | Rep | Advising on securities | 2014-07-02 | 2018-07-31 |
13 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2014-07-02 | 2018-07-31 |
14 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2018-11-15 | 2021-04-30 |
15 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2018-11-15 | 2021-04-30 |
16 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2018-11-15 | 2021-04-30 |
17 | CMB International Capital Limited | Rep | Advising on corporate finance | 2021-10-04 | |
18 | CMB International Capital Limited | Rep | Dealing in securities | 2021-10-04 |
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