Xin, Hai 忻海
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 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Advising on securities | 2005-06-16 | 2010-07-02 |
2 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Asset management | 2005-06-16 | 2010-07-02 |
3 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Dealing in securities | 2005-06-16 | 2010-11-08 |
4 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2010-04-12 | 2012-08-02 |
5 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Asset management | 2010-04-12 | 2012-08-02 |
6 | BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED | Rep | Dealing in securities | 2010-04-12 | 2012-08-02 |
7 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2015-06-30 | 2015-06-30 |
8 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2015-05-13 | 2015-07-06 |
9 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Asset management | 2015-05-13 | 2015-07-06 |
10 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in securities | 2015-05-13 | 2015-07-06 |
11 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Advising on securities | 2015-07-06 | 2018-07-20 |
12 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Asset management | 2015-07-06 | 2018-07-20 |
13 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2015-07-06 | 2018-07-20 |
14 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | RO | Dealing in securities | 2015-07-06 | 2018-07-20 |
15 | uSmart Securities Limited | RO | Advising on securities | 2019-01-21 | 2021-12-31 |
16 | uSmart Securities Limited | RO | Asset management | 2019-01-21 | 2021-12-31 |
17 | uSmart Securities Limited | RO | Dealing in securities | 2019-01-21 | 2021-12-31 |
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