Li (SFC:AQD832) Shan
單莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:AQD832) Shan (單莉), a licensed former licensee with CE reference AQD832. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-01-29 | 2021-06-04 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-01-29 | 2021-06-04 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-01-29 | 2021-06-04 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-28 | 2021-01-29 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-28 | 2021-01-29 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-08-28 | 2021-01-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-21 | 2019-08-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-06-21 | 2019-08-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-06-21 | 2019-08-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-10-27 | 2010-03-15 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2008-10-27 | 2010-03-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2008-10-27 | 2010-03-15 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2008-10-27 | 2010-03-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2008-10-27 | 2010-03-15 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2008-10-27 | 2010-03-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-12-14 | 2008-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-12-14 | 2008-09-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-12-14 | 2008-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-12-14 | 2008-09-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-12-14 | 2008-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-12-14 | 2008-09-05 |