Stephen Diao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Diao, a licensed former licensee with CE reference ACC083. This person has 6.6 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-07-10 | 2014-12-10 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-23 | 2014-12-10 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-23 | 2014-07-10 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-04-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2006-04-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Diao during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.