Chen (SFC:AGL159) Shen
沈晨
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chen (SFC:AGL159) Shen (沈晨), a licensed former licensee with CE reference AGL159. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-11-08 | 2013-11-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2011-02-22 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2011-02-22 | 2013-11-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-09 | 2011-01-29 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-28 | 2008-10-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-08-28 | 2011-01-29 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-11 | 2006-08-14 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-01 | 2006-04-11 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-04-01 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-08-14 |