Shuguang Mao
毛曙光
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuguang Mao (毛曙光), a licensed former licensee with CE reference AMY549. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-29 | 2015-09-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-05-29 | 2015-09-21 |
| Eastern Marathon Investment Management (Hong Kong) Company Limited 東方馬拉松投資管理（香港）有限公司 |
Rep | Type 9 — Asset management | 2012-06-14 | 2013-04-30 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-10 | 2012-02-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-06-10 | 2012-02-11 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-04 | 2011-05-16 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2009-06-04 | 2011-05-16 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-16 | 2008-12-16 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-07-16 | 2008-12-16 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2008-05-05 | 2008-05-30 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2008-05-05 | 2008-05-30 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2008-05-05 | 2008-05-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2006-01-24 | 2007-07-10 |