Hsiao, Roy
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 | CELESTIAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2013-10-25 | 2015-04-03 | Rep | Dealing in securities | 2013-10-25 | 2015-04-03 |
| 2 | First Prosperous Asset Management Company Limited | Rep | Asset management | 2022-05-03 | 2023-02-28 |
| 3 | First Prosperous Capital Company Limited | Rep | Advising on corporate finance | 2021-12-23 | 2021-12-30 | Rep | Dealing in securities | 2021-12-23 | 2021-12-30 | RO | Advising on corporate finance | 2021-12-30 | 2023-02-28 | RO | Dealing in securities | 2021-12-30 | 2023-02-28 |
| 4 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2015-06-11 | 2016-08-13 |
| 5 | ZACD Financial Group Limited | RO | Advising on corporate finance | 2019-03-01 | 2021-11-30 | RO | Advising on securities | 2019-03-01 | 2021-11-30 | RO | Dealing in securities | 2019-03-01 | 2021-11-30 |
| 6 | ZHONGTAI INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2016-09-29 | 2017-11-20 | RO | Dealing in securities | 2017-11-20 | 2018-07-10 |
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