Xie, Cathryn Jianing 謝佳寧
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 | 2009-07-13 | 2014-06-20 | Rep | Dealing in securities | 2009-07-13 | 2014-06-20 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2016-03-22 | 2017-08-10 | Rep | Advising on securities | 2016-03-22 | 2017-08-10 | Rep | Dealing in securities | 2016-03-22 | 2017-08-10 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2017-09-25 | 2022-06-13 | Rep | Dealing in securities | 2017-09-25 | 2022-06-13 | RO | Advising on corporate finance | 2022-06-13 | 2023-05-24 | RO | Dealing in securities | 2022-06-13 | 2023-05-24 |
| 4 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2014-08-25 | 2015-10-27 |
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