Liwen Shi
史力雯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Liwen Shi (史力雯), a licensed Responsible Officer with CE reference AXP429. Currently licensed at 2 firm(s): Guotai Junan Capital Limited, Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-03-28 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-10-30 | present |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-10-30 | 2024-03-28 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-10 | 2023-09-08 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-07-11 | 2023-09-08 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-11-21 | 2013-07-01 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-11 | 2013-07-01 |