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SHEN Xiaomin

沈晓民
CE AJN697Licensed IndividualSFO licence active
Official SFC record

SHEN Xiaomin (CE number AJN697) is an individual licensed by the Hong Kong SFC. First licensed on 2004-03-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeSIFT Capital Partners Limited
仕富資本有限公司

Licence Record (10)

2023-07-04 – present Current
SIFT Capital Partners Limited Rep
RA 9
2020-03-06 – 2022-05-04
Haitong International Investment Managers Limited Rep
RA 1 RA 4 RA 9
2020-03-06 – 2022-05-04
Haitong International Asset Management (HK) Limited Rep
RA 4 RA 5 RA 9
2020-03-06 – 2020-12-09
Haitong International Asset Management Limited Rep
RA 4 RA 5 RA 9
2017-11-17 – 2019-09-30
Deepwater Capital Limited RO
RA 4 RA 9
2016-09-26 – 2017-11-17
Deepwater Capital Limited Rep
RA 4 RA 9
2016-05-27 – 2016-08-31
Fosun Asset Management Limited RO
RA 9
2016-05-10 – 2016-05-27
Fosun Asset Management Limited Rep
RA 9
2013-08-28 – 2015-12-31
ICBC UBS Asset Management (International) Company Limited Rep
RA 4 RA 9
2004-03-09 – 2010-11-19
Nomura Asset Management Hong Kong Limited Rep
RA 4 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AJN697