Shun Fai Sze
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shun Fai Sze (施純輝), a licensed Responsible Officer with CE reference BJP009. Currently licensed at 2 firm(s): CITIC Securities (Hong Kong) Limited, CLSA Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 9.2 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2025-10-09 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-09-08 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2025-09-08 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2025-09-08 | 2025-10-09 |
| CMBC International Capital Limited 民銀資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2023-01-05 | 2025-08-21 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-16 | 2025-08-21 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-13 | 2025-08-21 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-03-13 | 2023-01-05 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-24 | 2018-03-02 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 4 - Advising on securities | 2017-05-24 | 2018-03-02 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-05-24 | 2018-03-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shun Fai Sze 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.