Xie, Mali 謝瑪麗
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 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2020-11-19 | 2021-09-10 | Rep | Asset management | 2020-11-19 | 2021-09-10 | Rep | Dealing in securities | 2020-11-19 | 2021-09-10 |
| 2 | Lego Asset Management Limited | Rep | Advising on securities | 2019-08-12 | 2020-04-20 | Rep | Asset management | 2019-08-12 | 2020-04-20 |
| 3 | Lego Securities Limited | Rep | Dealing in securities | 2019-08-12 | 2020-04-20 |
| 4 | Quam Asset Management Limited (b1983-06-28) | Rep | Advising on securities | 2017-06-14 | 2019-07-31 | Rep | Asset management | 2018-01-30 | 2019-07-31 |
| 5 | Quam Securities Limited | Rep | Dealing in securities | 2017-06-14 | 2019-07-31 |
| 6 | SPDB International Investment Management Limited | Rep | Advising on securities | 2021-10-06 | Rep | Asset management | 2021-10-06 |
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