Shen Yan
嚴申
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shen Yan (嚴申), a licensed former licensee with CE reference AIS062. This person has 3.1 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 - Advising on securities | 2005-07-21 | 2006-05-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2003-12-01 | 2006-05-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-12-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-08-22 |