Hua Shen
沈華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hua Shen (沈華), a licensed Responsible Officer with CE reference AOT416. Currently licensed at 1 firm(s): BOCHK Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-04-05 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-04-05 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
RO | Type 9 — Asset management | 2016-04-05 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-24 | 2016-04-05 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-02-24 | 2016-04-05 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-02-24 | 2016-04-05 |
| China Vered Securities Limited 中薇證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-12-03 | 2015-09-29 |
| Alphamax Asset Management (HK) Limited 利升資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2012-08-06 | 2016-02-14 |
| VTB Capital Hong Kong Limited | RO | Type 1 — Dealing in securities | 2011-06-30 | 2011-12-08 |
| VTB Capital Hong Kong Limited | RO | Type 4 — Advising on securities | 2011-06-30 | 2011-12-08 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-12-31 | 2011-03-19 |
| MUSHK Limited | RO | Type 1 — Dealing in securities | 2009-08-17 | 2011-03-19 |
| MUSHK Limited | Rep | Type 1 — Dealing in securities | 2007-04-02 | 2009-08-17 |