Shen, Xiaotong 沈晓通

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 CCB INTERNATIONAL CAPITAL LIMITED Rep Advising on corporate finance 2019-02-26 2020-11-27
Rep Advising on securities 2019-02-26 2020-11-27
Rep Dealing in securities 2019-02-26 2020-11-27
2 CMB International Capital Limited Rep Advising on corporate finance 2020-12-14 2021-02-22
Rep Dealing in securities 2020-12-14 2021-02-22
3 COFCO Asset Management (International) Company Limited Rep Advising on securities 2023-05-02 2023-05-29
Rep Dealing in securities 2023-05-02 2023-05-29
Rep Asset management 2023-05-23 2023-05-29
RO Advising on securities 2023-05-29 2025-07-25
RO Asset management 2023-05-29 2025-07-25
RO Dealing in securities 2023-05-29 2025-07-25
4 Credit Suisse (Hong Kong) Limited Rep Advising on corporate finance 2011-02-22 2011-12-31
Rep Advising on securities 2011-02-22 2011-12-31
Rep Dealing in securities 2011-02-22 2011-12-31
5 GF Capital (Hong Kong) Limited Rep Advising on corporate finance 2012-06-05 2014-10-17
Rep Advising on corporate finance 2014-12-15 2018-07-19
6 GF Securities (Hong Kong) Brokerage Limited Rep Dealing in securities 2012-06-05 2014-10-17
Rep Dealing in securities 2014-12-15 2018-07-19
7 HAITONG INTERNATIONAL CAPITAL LIMITED Rep Advising on corporate finance 2021-08-16 2023-03-06
8 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Dealing in securities 2021-08-16 2023-03-06
Rep Advising on securities 2021-09-16 2023-03-06
9 HONOR CAPITAL (HK) LIMITED RO Advising on securities 2025-09-01
RO Asset management 2025-09-01

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