Shan Su
蘇珊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shan Su (蘇珊), CE reference AOU240. Currently licensed at 2 firm(s): CMB International Securities Limited, CMB International Capital Limited. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-12-16 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-04 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-10-04 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-11-15 | 2021-04-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-11-15 | 2021-04-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-11-15 | 2021-04-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2014-07-02 | 2018-07-31 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2014-07-02 | 2018-07-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2014-07-02 | 2018-07-31 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2014-07-02 | 2018-07-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2014-07-02 | 2018-07-31 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2014-07-02 | 2018-07-31 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-09 | 2010-09-01 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-09-09 | 2010-09-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-12 | 2008-12-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-12 | 2008-12-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-16 | 2008-12-11 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-04-16 | 2008-12-11 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-04-16 | 2008-12-11 |