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SHI Liwen

史力雯
CE AXP429Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SHI Liwen (CE number AXP429) is an individual licensed by the Hong Kong SFC. First licensed on 2011-07-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuotai Junan Capital Limited
國泰君安融資有限公司
RepresentativeGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (5)

2024-03-28 – present Current
Guotai Junan Capital Limited RO
RA 6
2023-10-30 – present Current
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1
2023-10-30 – 2024-03-28
Guotai Junan Capital Limited Rep
RA 6
2013-07-11 – 2023-09-08
China Securities (International) Corporate Finance Company Limited Rep
RA 1 RA 6
2011-07-11 – 2013-07-01
KGI Capital Asia Limited Rep
RA 1 RA 6

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/AXP429