Stephen Diao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Diao ( ), a licensed former licensee with CE reference ACC083. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-07-10 | 2014-12-10 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-23 | 2014-12-10 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-23 | 2014-07-10 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-04-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-04-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-31 |