Yupeng Shi
施宇鵬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yupeng Shi (施宇鵬), a licensed former licensee with CE reference BDX511. This person has 1.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-24 | 2016-02-15 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-24 | 2016-02-15 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-04-24 | 2016-02-15 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-01-14 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-01-14 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-01-14 | 2016-01-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-08-07 | 2014-11-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-08-07 | 2014-11-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-08-07 | 2014-11-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yupeng Shi 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.