Xie, Yi (SFC:BDN986) 謝怡
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 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | Rep | Advising on futures contracts | 2017-08-21 | 2017-10-30 | Rep | Advising on securities | 2017-08-21 | 2017-10-30 | Rep | Asset management | 2017-08-21 | 2017-10-30 | RO | Advising on futures contracts | 2017-10-30 | 2021-08-31 | RO | Advising on securities | 2017-10-30 | 2021-08-31 | RO | Asset management | 2017-10-30 | 2021-08-31 |
| 2 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2017-08-21 | 2017-10-30 | Rep | Advising on securities | 2017-08-21 | 2017-10-30 | Rep | Asset management | 2017-08-21 | 2017-10-30 | RO | Advising on futures contracts | 2017-10-30 | 2021-08-31 | RO | Advising on securities | 2017-10-30 | 2021-08-31 | RO | Asset management | 2017-10-30 | 2021-08-31 |
| 3 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Advising on securities | 2017-08-21 | 2017-10-30 | Rep | Asset management | 2017-08-21 | 2017-10-30 | Rep | Dealing in securities | 2017-08-21 | 2017-10-30 | RO | Advising on securities | 2017-10-30 | 2021-08-31 | RO | Asset management | 2017-10-30 | 2021-08-31 | RO | Dealing in securities | 2017-10-30 | 2021-08-31 |
| 4 | Polen Capital HK Limited | Rep | Advising on securities | 2014-07-04 | 2015-05-14 | Rep | Asset management | 2014-07-04 | 2015-05-14 | Rep | Dealing in securities | 2014-07-04 | 2015-05-14 | RO | Advising on securities | 2015-05-14 | 2017-06-16 | RO | Asset management | 2015-05-14 | 2017-06-16 | RO | Dealing in securities | 2015-05-14 | 2017-06-16 |
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