Shao Hua Shi
石少華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shao Hua Shi (石少華), a licensed former licensee with CE reference AOE809. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 9 — Asset management | 2017-11-01 | 2018-08-08 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-10-06 | 2018-08-08 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 4 — Advising on securities | 2017-10-06 | 2018-08-08 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-12 | 2017-10-06 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-12 | 2017-10-06 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 9 — Asset management | 2016-10-12 | 2017-11-01 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-11 | 2016-10-12 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-04-11 | 2016-10-12 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-26 | 2014-04-30 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-26 | 2014-04-30 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
Rep | Type 9 — Asset management | 2012-11-26 | 2014-04-30 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2012-02-03 | 2012-03-17 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2012-02-03 | 2012-03-17 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2012-02-03 | 2012-03-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-27 | 2010-04-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-11-27 | 2010-04-13 |