Ming Shu
舒明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Shu (舒明), a licensed former licensee with CE reference ALR975. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-07-07 | 2013-08-10 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2009-07-07 | 2013-08-10 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-10 | 2009-07-07 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-03 | 2009-07-07 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-02-08 | 2006-02-03 |