Shuo Yang
楊碩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuo Yang (楊碩), a licensed Responsible Officer with CE reference AQU542. Currently licensed at 1 firm(s): China Galaxy International Securities (Hong Kong) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-11-08 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-10-03 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-10-03 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-10-03 | 2023-11-08 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2022-04-28 | 2023-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2021-09-30 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2021-09-30 | 2023-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2021-09-30 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2021-09-30 | 2023-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2021-08-25 | 2023-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2021-08-25 | 2022-04-28 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-06-07 | 2021-07-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-10 | 2016-02-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-04-10 | 2016-02-26 |