Shu Ming Shiu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Ming Shiu (蕭恕明), a licensed Responsible Officer with CE reference ADS601. Currently licensed at 1 firm(s): Orient Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.3 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 1 - Dealing in securities | 2024-04-15 | present |
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 4 - Advising on securities | 2024-04-15 | present |
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 9 - Asset management | 2024-04-15 | present |
| Euto Capital Partners Limited 裕韜資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-04-28 | 2022-04-23 |
| Upbest Assets Management Limited 美建管理有限公司 |
Rep | Type 9 - Asset management | 2014-05-13 | 2015-04-01 |
| Upbest Securities Company Limited 美建證券有限公司 |
Rep | Type 9 - Asset management | 2014-05-13 | 2015-04-01 |
| Upbest Assets Management Limited 美建管理有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-05-13 | 2015-04-01 |
| Upbest Securities Company Limited 美建證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-05-13 | 2015-04-01 |
| Zijing Capital Limited 紫荊融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-11-01 | 2013-09-01 |
| Zijing Capital Limited 紫荊融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-09-09 | 2010-11-01 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 - Advising on securities | 2009-03-05 | 2009-11-23 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-13 | 2010-08-17 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-01-02 | 2010-08-17 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-07-15 | 2009-01-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shu Ming Shiu 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.