Shuo-Fen Fan
范碩芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuo-Fen Fan (范碩芬), a licensed former licensee with CE reference AQI570. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-12-20 | 2014-02-07 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-20 | 2014-02-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-10-31 | 2012-02-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-08 | 2012-02-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-06-10 | 2012-02-21 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-06-10 | 2010-09-08 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-13 | 2008-12-04 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-06-13 | 2010-05-21 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-01-24 | 2010-05-21 |