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. Total licence records on file: 9.
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 | present | 2003-06-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 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 | present | 2003-06-25 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-06-25 |