Shiu, Alex Siu Tao 蕭少滔
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 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2009-05-26 | 2010-07-28 | Rep | Dealing in securities | 2009-06-17 | 2009-11-26 | RO | Dealing in securities | 2009-11-26 | 2011-07-04 |
2 | China Sunrise Capital Limited | RO | Advising on corporate finance | 2016-10-25 | 2017-06-09 |
3 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-08-04 | 2011-09-02 | Rep | Advising on securities | 2011-08-04 | 2011-09-02 | Rep | Dealing in securities | 2011-08-04 | 2011-09-02 | RO | Advising on corporate finance | 2011-09-02 | 2014-07-15 | RO | Advising on securities | 2011-09-02 | 2014-07-15 | RO | Dealing in securities | 2011-09-02 | 2014-07-15 |
4 | FRONTIER CAPITAL INVESTMENT LIMITED | Rep | Advising on corporate finance | 2014-08-15 | 2014-09-01 | Rep | Advising on securities | 2014-08-15 | 2014-09-01 | Rep | Dealing in securities | 2014-08-15 | 2014-09-01 | RO | Advising on corporate finance | 2014-09-01 | 2015-12-11 | RO | Advising on securities | 2014-09-01 | 2015-12-11 | RO | Dealing in securities | 2014-09-01 | 2015-12-11 |
5 | KARL THOMSON FINANCIAL ADVISORY LIMITED | Rep | Advising on corporate finance | 2008-08-08 | 2009-04-06 |
6 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-12-17 | Rep | Advising on securities | 2003-12-17 | Rep | Asset management | 2003-12-17 | RO | Advising on corporate finance | 2003-12-17 | 2008-02-04 | RO | Advising on securities | 2003-12-17 | 2008-02-04 |
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