Ye, Xiao (SFC:AUM476) 叶晓
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 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2010-01-12 | 2010-09-11 |
| 2 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Dealing in securities | 2010-01-12 | 2010-09-11 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2010-09-20 | 2015-08-08 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2010-09-20 | 2015-08-08 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-09-20 | 2015-08-08 |
| 6 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-10-05 | 2021-06-30 |
| 7 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2015-10-05 | 2021-06-30 |
| 8 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2015-10-05 | 2021-06-30 |
| 9 | HSBC Corporate Finance (Hong Kong) Limited | Rep | Advising on corporate finance | 2022-05-04 |
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