Shan Zhong
鍾山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shan Zhong (鍾山), a licensed Responsible Officer with CE reference AJN966. Currently licensed at 1 firm(s): CPIC Investment Management (H.K.) Company Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2020-11-23 | present |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-06 | present |
| CPIC Investment Management (H.K.) Company Limited 中國太保投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-11-06 | 2020-11-23 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-11-29 | 2019-10-08 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
RO | Type 9 — Asset management | 2017-11-29 | 2019-10-08 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-26 | 2017-11-29 |
| Dongxing Securities (Hong Kong) Asset Management Company Limited 東興證券(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-06-26 | 2017-11-29 |
| LBN Advisers Limited 利邦投資顧問有限公司 |
Rep | Type 9 — Asset management | 2015-09-04 | 2017-05-27 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-29 | 2015-03-25 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-06-29 | 2015-03-25 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-09-09 | 2011-05-17 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-09-09 | 2011-05-17 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-09-07 | 2005-09-07 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-09-07 | 2011-05-17 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-09-07 | 2011-05-17 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-15 | 2005-08-26 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-15 | 2005-08-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-02 | 2004-05-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-04-02 | 2004-05-21 |