Yang Xia
夏阳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yang Xia (夏阳), a licensed Responsible Officer with CE reference ALN489. Currently licensed at 1 firm(s): Profound Capital Limited. Active regulated activities: Type 9 - Asset management. This person has 20.0 years of SFC licence history. Total licence records on file: 28.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Profound Capital Limited 雲川資本有限公司 |
RO | Type 9 - Asset management | 2023-10-20 | present |
| Profound Capital Limited 雲川資本有限公司 |
Rep | Type 9 - Asset management | 2021-12-08 | 2023-10-20 |
| TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-05-09 | 2021-09-14 |
| TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-05-09 | 2021-09-14 |
| TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-05-09 | 2021-09-14 |
| TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-03-29 | 2018-05-09 |
| WaterValley Capital Management (HK) Limited 泓谷資本管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-09 | 2018-03-09 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-10-11 | 2017-06-30 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-07-04 | 2017-06-30 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-06-06 | 2016-07-04 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2016-01-08 | 2016-03-04 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | 2016-01-08 | 2016-03-04 |
| Merrill Lynch Far East Limited | RO | Type 2 - Dealing in futures contracts | 2016-01-08 | 2016-03-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-10-30 | 2016-01-08 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-10-30 | 2016-01-08 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2015-10-30 | 2016-01-08 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-04-18 | 2015-10-21 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2013-04-18 | 2015-10-21 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2013-04-18 | 2015-10-21 |
| UBS Securities Hong Kong Limited | RO | Type 7 - Providing automated trading services | 2011-07-06 | 2013-04-18 |
| UBS Securities Asia Limited | RO | Type 1 - Dealing in securities | 2010-11-11 | 2013-04-18 |
| UBS Securities Hong Kong Limited | RO | Type 1 - Dealing in securities | 2010-11-11 | 2013-04-18 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2007-05-18 | 2010-11-11 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2006-03-16 | 2010-11-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-09 | 2005-06-21 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-09 | 2005-06-21 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2004-12-09 | 2005-06-21 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | 2004-12-09 | 2005-06-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yang Xia during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.