Sheng Yao
姚聖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sheng Yao (姚聖), a licensed Responsible Officer with CE reference ALL051. Currently licensed at 1 firm(s): Sino Cornerstone Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sino Cornerstone Capital Limited 中國基石資本有限公司 |
RO | Type 4 — Advising on securities | 2024-05-21 | present |
| Sino Cornerstone Capital Limited 中國基石資本有限公司 |
RO | Type 9 — Asset management | 2024-05-21 | present |
| LeZi Capital Limited 樂滋資產有限公司 |
RO | Type 9 — Asset management | 2020-12-18 | 2023-07-31 |
| Green Harmony Capital Limited 景和資本有限公司 |
RO | Type 9 — Asset management | 2019-05-07 | 2020-03-17 |
| Entropy Asset Management Limited | RO | Type 4 — Advising on securities | 2017-12-19 | 2018-10-31 |
| Entropy Asset Management Limited | RO | Type 9 — Asset management | 2017-12-19 | 2018-10-31 |
| Giant Venture Asset Management Limited 嘉遠資產管理有限公司 |
RO | Type 9 — Asset management | 2017-01-11 | 2017-04-15 |
| BOCI Research Limited 中銀國際研究有限公司 |
Rep | Type 4 — Advising on securities | 2008-08-15 | 2013-09-11 |
| Gavekal Capital Limited | Rep | Type 9 — Asset management | 2008-04-23 | 2008-06-05 |
| CC Finance Limited 思齊資本融資有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-25 | 2007-01-23 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-11 | 2006-07-21 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-11 | 2006-07-21 |