Xiaotong Shen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaotong Shen (沈晓通), a licensed Responsible Officer with CE reference AWU655. Currently licensed at 1 firm(s): Ruiheng Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.4 years of SFC licence history. Total licence records on file: 26.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ruiheng Securities Limited 睿珩證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-04-15 | present |
| Ruiheng Securities Limited 睿珩證券有限公司 |
RO | Type 4 - Advising on securities | 2026-04-15 | present |
| Ruiheng Securities Limited 睿珩證券有限公司 |
RO | Type 9 - Asset management | 2026-04-15 | present |
| HONOR CAPITAL (HK) LIMITED 榮耀資本(香港)有限公司 |
RO | Type 4 - Advising on securities | 2025-09-01 | 2026-03-20 |
| HONOR CAPITAL (HK) LIMITED 榮耀資本(香港)有限公司 |
RO | Type 9 - Asset management | 2025-09-01 | 2026-03-20 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
RO | Type 1 - Dealing in securities | 2023-05-29 | 2025-07-25 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
RO | Type 4 - Advising on securities | 2023-05-29 | 2025-07-25 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
RO | Type 9 - Asset management | 2023-05-29 | 2025-07-25 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 9 - Asset management | 2023-05-23 | 2023-05-29 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-05-02 | 2023-05-29 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 4 - Advising on securities | 2023-05-02 | 2023-05-29 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-09-16 | 2023-03-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-08-16 | 2023-03-06 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-08-16 | 2023-03-06 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2020-12-14 | 2021-02-22 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-12-14 | 2021-02-22 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 - Dealing in securities | 2019-02-26 | 2020-11-27 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 4 - Advising on securities | 2019-02-26 | 2020-11-27 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-02-26 | 2020-11-27 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2014-12-15 | 2018-07-19 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-12-15 | 2018-07-19 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-05 | 2014-10-17 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-06-05 | 2014-10-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-02-22 | 2011-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-02-22 | 2011-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-02-22 | 2011-12-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiaotong Shen during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.