Li, Xiao (SFC:BEH577) 李瀟
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 | BOCOM International (Asia) Limited | Rep | Advising on corporate finance | 2017-02-14 | 2017-03-10 | Rep | Dealing in securities | 2017-02-14 | 2017-03-10 |
| 2 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2022-04-07 | Rep | Advising on securities | 2022-04-07 | Rep | Dealing in securities | 2022-04-07 |
| 3 | CHINA EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2017-04-10 | 2019-07-19 | Rep | Dealing in securities | 2017-04-10 | 2019-07-19 |
| 4 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2014-10-07 | 2016-06-25 | Rep | Advising on securities | 2014-10-07 | 2016-06-25 | Rep | Dealing in securities | 2014-10-07 | 2016-06-25 |
| 5 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2019-10-24 | 2022-02-27 | Rep | Dealing in securities | 2019-10-24 | 2022-02-27 |
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