Chen, Xiao (SFC:AVA602) 陳曉
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 Vered Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2019-04-09 | 2019-04-09 | RO | Advising on securities | 2019-04-15 | 2019-06-07 |
| 2 | China Vered Securities Limited | Rep | Advising on securities | 2018-11-26 | 2019-04-15 | Rep | Dealing in securities | 2018-11-26 | 2019-04-15 | RO | Advising on securities | 2019-04-15 | 2019-06-07 | RO | Dealing in securities | 2019-04-15 | 2019-06-07 |
| 3 | Crosby Securities Limited | Rep | Advising on corporate finance | 2015-12-08 | 2016-06-17 | Rep | Advising on securities | 2015-12-08 | 2016-06-17 | Rep | Dealing in securities | 2015-12-08 | 2016-06-17 |
| 4 | Dongxing Securities (Hong Kong) Company Limited | Rep | Advising on corporate finance | 2016-09-13 | 2016-12-31 | Rep | Dealing in securities | 2016-09-13 | 2016-12-31 |
| 5 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Dealing in securities | 2013-05-29 | 2015-11-03 | Rep | Advising on securities | 2013-09-19 | 2015-11-03 |
| 6 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Dealing in securities | 2011-06-21 | 2012-09-10 | Rep | Advising on corporate finance | 2011-06-21 | 2013-01-07 | RO | Dealing in securities | 2012-09-10 | 2013-03-10 | RO | Advising on corporate finance | 2013-01-07 | 2013-05-13 |
| 7 | Hao Tian Asset Management Limited | RO | Advising on securities | 2019-12-06 | 2021-07-21 | RO | Asset management | 2019-12-06 | 2021-07-21 |
| 8 | Hao Tian International Futures Limited | RO | Dealing in futures contracts | 2020-03-19 | 2020-12-18 |
| 9 | Hao Tian International Securities Limited | Rep | Dealing in securities | 2019-11-11 | 2019-12-06 | RO | Dealing in securities | 2019-12-06 | 2021-07-21 |
| 10 | Pionex Securities Limited | RO | Dealing in securities | 2024-02-20 | |
| 11 | StormHarbour Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2010-04-16 | 2011-04-15 | Rep | Advising on securities | 2010-04-16 | 2011-04-15 | Rep | Dealing in securities | 2010-04-16 | 2011-04-15 |
| 12 | Zheng He Capital Management Limited | Rep | Advising on securities | 2021-08-04 | 2021-08-10 | Rep | Asset management | 2021-08-04 | 2021-08-10 | RO | Advising on securities | 2021-08-10 | 2024-01-26 | RO | Asset management | 2021-08-10 | 2024-01-26 |
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