Shu (SFC:AWH337) Li
李姝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu (SFC:AWH337) Li (李姝), a licensed former licensee with CE reference AWH337. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-08-21 | 2022-06-06 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-30 | 2014-06-06 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-30 | 2014-06-06 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-12 | 2011-04-28 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-11-12 | 2011-04-28 |