Mao, Shuguang 毛曙光
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2008-07-16 | 2008-12-16 | Rep | Dealing in securities | 2008-07-16 | 2008-12-16 | Rep | Advising on corporate finance | 2013-05-29 | 2015-09-21 | Rep | Dealing in securities | 2013-05-29 | 2015-09-21 |
2 | CITIC Securities Asset Management (HK) Limited | Rep | Advising on securities | 2011-06-10 | 2012-02-11 | Rep | Asset management | 2011-06-10 | 2012-02-11 |
3 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2006-01-24 | 2007-07-10 |
4 | Eastern Marathon Investment Management (Hong Kong) Company Limited | Rep | Asset management | 2012-06-14 | 2013-04-30 |
5 | HARVEST GLOBAL INVESTMENTS LIMITED | Rep | Advising on securities | 2009-06-04 | 2011-05-16 | Rep | Asset management | 2009-06-04 | 2011-05-16 |
6 | Wells Fargo Securities Asia Limited | Rep | Advising on corporate finance | 2008-05-05 | 2008-05-30 | Rep | Advising on securities | 2008-05-05 | 2008-05-30 | Rep | Dealing in securities | 2008-05-05 | 2008-05-30 |
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