Jun Xie
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jun Xie (謝俊), a licensed Responsible Officer with CE reference AOB779. Currently licensed at 1 firm(s): SBI China Capital Financial Services Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 16.3 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2024-09-02 | present |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 - Advising on securities | 2024-09-02 | present |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 9 - Asset management | 2024-09-02 | present |
| Duo Asset Management Limited 雙瑩資產管理有限公司 |
RO | Type 4 - Advising on securities | 2022-02-08 | 2023-07-20 |
| Duo Asset Management Limited 雙瑩資產管理有限公司 |
RO | Type 9 - Asset management | 2022-02-08 | 2023-07-20 |
| Riches Depot Securities Co., Limited 聚富證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-01-27 | 2022-01-31 |
| Riches Depot Securities Co., Limited 聚富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-12-28 | 2021-01-27 |
| CF Securities Limited 長复證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-05-29 | 2020-06-30 |
| Riches Depot Securities Co., Limited 聚富證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-02-25 | 2020-03-13 |
| Riches Depot Securities Co., Limited 聚富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-14 | 2019-02-25 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2018-07-25 | 2018-12-11 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 - Advising on securities | 2018-07-25 | 2018-12-11 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 9 - Asset management | 2018-06-20 | 2018-12-11 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-12 | 2018-07-25 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 4 - Advising on securities | 2018-06-12 | 2018-07-25 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-10-25 | 2017-11-23 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-10-15 | 2017-11-23 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-09-05 | 2007-09-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Jun Xie 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.