Richard Chih Yuan Shen
沈智遠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Chih Yuan Shen (沈智遠), a licensed former licensee with CE reference ADH008. This person has 6.6 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2011-06-17 | 2015-05-18 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2011-06-17 | 2015-05-18 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2011-06-17 | 2015-05-18 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2011-06-17 | 2015-05-18 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2008-01-14 | 2010-09-09 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2008-01-14 | 2010-09-09 |