Shengyang Shi
施盛暘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shengyang Shi (施盛暘), a licensed former licensee with CE reference BAA899. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2013-07-02 | 2015-09-09 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-10 | 2013-05-02 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-08-10 | 2013-05-02 |