Sun, Xiangxiao 孫祥霄
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2005-04-20 | 2007-08-10 | Rep | Dealing in futures contracts | 2007-03-07 | 2007-08-10 |
| 2 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2015-10-07 | 2015-11-09 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2015-12-16 | 2016-08-31 | Rep | Dealing in futures contracts | 2015-12-16 | 2017-08-19 | Rep | Dealing in securities | 2015-12-16 | 2017-08-19 |
| 4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2017-10-18 | 2021-10-29 | Rep | Dealing in securities | 2017-10-18 | 2021-10-29 | RO | Dealing in futures contracts | 2021-10-29 | RO | Dealing in securities | 2021-10-29 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-09-03 | 2015-07-11 |
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