Xie, Fan (SFC:BBJ699) 謝凡
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 | ICBC INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2018-09-03 | 2021-07-23 | Rep | Dealing in securities | 2018-09-03 | 2021-07-23 | Rep | Advising on securities | 2018-10-18 | 2021-07-23 |
| 2 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2018-09-03 | 2021-07-23 |
| 3 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2021-09-16 | 2023-06-20 | Rep | Advising on securities | 2021-09-16 | 2023-06-20 | Rep | Dealing in securities | 2021-09-16 | 2023-06-20 |
| 4 | KGI ASIA LIMITED | Rep | Dealing in securities | 2017-05-25 | 2017-10-02 | Rep | Dealing in securities | 2017-10-03 | 2018-08-05 |
| 5 | KGI CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2017-05-25 | 2018-08-05 |
| 6 | Monex Boom Securities (H.K.) Limited | Rep | Dealing in securities | 2013-09-09 | 2014-04-01 |
| 7 | SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Advising on corporate finance | 2016-03-04 | 2017-04-11 |
| 8 | SPDB International Capital Limited | Rep | Advising on corporate finance | 2024-02-09 | 2024-03-14 | Rep | Dealing in securities | 2024-02-09 | 2024-03-14 |
| 9 | Win Securities Limited | Rep | Dealing in securities | 2013-09-09 | 2014-04-01 |
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