Gao, Xiaoshan 高小杉
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 | Alpha Elephant Capital Management (Hong Kong) Limited | RO | Asset management | 2023-08-28 | RO | Advising on securities | 2023-09-20 |
| 2 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on corporate finance | 2022-08-19 | 2022-11-30 | Rep | Advising on securities | 2022-08-19 | 2022-11-30 | Rep | Dealing in securities | 2022-08-19 | 2022-11-30 |
| 3 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-07-03 | 2015-04-30 |
| 4 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2012-05-15 | 2015-04-30 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2015-05-22 | 2016-05-27 |
| 6 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Dealing in securities | 2015-05-22 | 2016-05-27 | Rep | Advising on corporate finance | 2015-06-18 | 2016-05-27 |
| 7 | SPDB International Capital Limited | Rep | Advising on corporate finance | 2016-06-21 | 2022-06-13 | Rep | Dealing in securities | 2016-06-21 | 2022-06-13 |
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