Zhong, Shan (SFC:AJN966) 鍾山
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 | CPIC Investment Management (H.K.) Company Limited | Rep | Advising on securities | 2019-11-06 | Rep | Asset management | 2019-11-06 | 2020-11-23 | RO | Asset management | 2020-11-23 |
| 2 | Dongxing Securities (Hong Kong) Asset Management Company Limited | Rep | Advising on securities | 2017-06-26 | 2017-11-29 | Rep | Asset management | 2017-06-26 | 2017-11-29 | RO | Advising on securities | 2017-11-29 | 2019-10-08 | RO | Asset management | 2017-11-29 | 2019-10-08 |
| 3 | Halbis Capital Management (Hong Kong) Limited | Rep | Dealing in securities | 2005-09-07 | 2005-09-07 | Rep | Advising on securities | 2005-09-07 | 2011-05-17 | Rep | Asset management | 2005-09-09 | 2011-05-17 |
| 4 | HARVEST GLOBAL INVESTMENTS LIMITED | Rep | Advising on securities | 2011-06-29 | 2015-03-25 | Rep | Asset management | 2011-06-29 | 2015-03-25 |
| 5 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2005-09-07 | 2011-05-17 | Rep | Asset management | 2005-09-09 | 2011-05-17 |
| 6 | LBN Advisers Limited | Rep | Asset management | 2015-09-04 | 2017-05-27 |
| 7 | Morgan Stanley Asia Limited | Rep | Advising on securities | 2004-04-02 | 2004-05-21 | Rep | Dealing in securities | 2004-04-02 | 2004-05-21 |
| 8 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on securities | 2004-10-15 | 2005-08-26 | Rep | Dealing in securities | 2004-10-15 | 2005-08-26 |
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