Shaoshan Cao
曹少山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shaoshan Cao (曹少山), a licensed former licensee with CE reference AGD038. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-11-13 | 2009-06-19 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-08-23 | 2008-10-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-13 | 2006-07-25 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2004-05-13 | 2006-07-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-05-13 | 2006-07-25 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-15 |