Yishan Cao
曹一珊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yishan Cao (曹一珊), a licensed Representative with CE reference AXI390. Currently licensed at 1 firm(s): PIMCO Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 6.
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 |
|---|---|---|---|---|
| PIMCO Asia Limited 品浩投資管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-19 | present |
| PIMCO Asia Limited 品浩投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-19 | present |
| PIMCO Asia Limited 品浩投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2018-12-19 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-30 | 2012-08-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-05-30 | 2012-08-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-30 | 2012-08-18 |