He, Tian (SFC:BBR112) 賀添
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 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-04-23 | 2017-04-01 | Rep | Advising on securities | 2015-04-23 | 2017-04-01 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2015-04-23 | 2017-04-01 |
| 3 | CMS CAPITAL (HK) CO., LIMITED | Rep | Advising on securities | 2021-11-29 | 2022-04-12 | Rep | Asset management | 2021-11-29 | 2022-04-12 | RO | Advising on securities | 2022-04-12 | RO | Asset management | 2022-04-12 |
| 4 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2013-08-01 | 2016-01-01 | Rep | Advising on securities | 2013-08-01 | 2016-01-01 | Rep | Dealing in securities | 2013-08-01 | 2016-01-01 |
| 5 | Grit Securities Limited | Rep | Dealing in securities | 2017-09-13 | 2018-11-20 | RO | Dealing in securities | 2018-11-20 | 2019-01-19 |
| 6 | JOINCAP CAPITAL LIMITED | Rep | Advising on securities | 2017-09-13 | 2018-11-20 | Rep | Asset management | 2017-09-13 | 2018-11-20 | RO | Advising on securities | 2018-11-20 | 2019-01-19 | RO | Asset management | 2018-11-20 | 2019-01-19 |
| 7 | SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | Rep | Asset management | 2019-02-25 | 2019-04-24 | RO | Asset management | 2019-04-24 | 2021-10-29 |
| 8 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on securities | 2019-02-25 | 2019-04-24 | Rep | Dealing in securities | 2019-02-25 | 2019-04-24 | RO | Advising on corporate finance | 2019-04-24 | 2021-10-29 | RO | Advising on securities | 2019-04-24 | 2021-10-29 | RO | Dealing in securities | 2019-04-24 | 2021-10-29 |
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