Alex Xinghai Mou
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Xinghai Mou ( ), a licensed former licensee with CE reference AJB639. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2017-06-28 | 2018-12-27 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2017-06-28 | 2018-12-27 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2017-04-11 | 2017-06-28 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2017-04-11 | 2017-06-28 |
| Shinhan Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-01-31 | 2017-03-31 |
| Shinhan Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-01-31 | 2017-03-31 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-08 | 2011-01-01 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2009-07-21 | 2011-01-01 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2009-07-21 | 2011-01-01 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-27 | 2009-07-21 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2009-04-27 | 2009-07-21 |
| China Everbright Assets Management Limited 中國光大資產管理有限公司 |
Rep | Type 9 — Asset management | 2007-03-08 | 2007-10-06 |
| Brooke Capital Limited |
Rep | Type 9 — Asset management | 2005-12-29 | 2006-10-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2003-08-15 | 2004-09-01 |