Natalie Ann Shaw
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Natalie Ann Shaw, a licensed former licensee with CE reference AGB890. This person has 8.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2017-12-20 | 2018-09-28 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2017-12-20 | 2018-09-28 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-08-10 | 2018-09-28 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-01-07 | 2017-12-20 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-01-07 | 2015-11-30 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-25 |