Xin, Hai 忻海

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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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