Xie, Jun (SFC:AOB779) 謝俊
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 | CF SECURITIES LIMITED | Rep | Dealing in securities | 2020-05-29 | 2020-06-30 |
| 2 | Duo Asset Management Limited | RO | Advising on securities | 2022-02-08 | 2023-07-20 | RO | Asset management | 2022-02-08 | 2023-07-20 |
| 3 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2007-10-15 | 2017-11-23 | Rep | Dealing in securities | 2007-10-25 | 2017-11-23 |
| 4 | RICHES DEPOT SECURITIES CO., LIMITED | Rep | Dealing in securities | 2019-01-14 | 2019-02-25 | RO | Dealing in securities | 2019-02-25 | 2020-03-13 | Rep | Dealing in securities | 2020-12-28 | 2021-01-27 | RO | Dealing in securities | 2021-01-27 | 2022-01-31 |
| 5 | SBI China Capital Financial Services Limited | Rep | Advising on securities | 2018-06-12 | 2018-07-25 | Rep | Dealing in securities | 2018-06-12 | 2018-07-25 | Rep | Asset management | 2018-06-20 | 2018-12-11 | RO | Advising on securities | 2018-07-25 | 2018-12-11 | RO | Dealing in securities | 2018-07-25 | 2018-12-11 |
| 6 | SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | Rep | Advising on securities | 2007-09-05 | 2007-09-13 |
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