Stephen Shih
施健文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Shih (施健文), a licensed former licensee with CE reference AXI007. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-01-26 | 2017-01-31 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-01-26 | 2017-01-31 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-01-26 | 2017-01-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-03-18 | 2016-01-06 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-25 | 2013-01-24 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-25 | 2013-01-24 |