Hua He
何華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hua He (何華), a licensed Responsible Officer with CE reference AOV195. Currently licensed at 1 firm(s): 9M Stone Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 9M Stone Capital Limited 九石資本有限公司 |
RO | Type 4 — Advising on securities | 2020-07-17 | present |
| 9M Stone Capital Limited 九石資本有限公司 |
RO | Type 9 — Asset management | 2016-05-03 | present |
| Capula Investment Management Asia Limited | Rep | Type 1 — Dealing in securities | 2015-08-28 | 2015-09-15 |
| Capula Investment Management Asia Limited | Rep | Type 9 — Asset management | 2015-08-28 | 2015-09-15 |
| Capula Investment Management Asia Limited | RO | Type 1 — Dealing in securities | 2014-02-18 | 2015-08-28 |
| Capula Investment Management Asia Limited | RO | Type 9 — Asset management | 2014-02-18 | 2015-08-28 |
| Capula Investment Management Asia Limited | Rep | Type 1 — Dealing in securities | 2014-02-06 | 2014-02-18 |
| Capula Investment Management Asia Limited | Rep | Type 9 — Asset management | 2014-02-06 | 2014-02-18 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 4 — Advising on securities | 2012-05-29 | 2014-01-30 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-03-14 | 2014-01-30 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-03 | 2012-05-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-10 | 2011-04-16 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-20 | 2008-09-29 |