Su, Shan (SFC:AOU240) 蘇珊

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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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