Xiao Chen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Chen (陳曉), a licensed Responsible Officer with CE reference BFC998. Currently licensed at 1 firm(s): CCB Principal Asset Management (Hong Kong) Co., Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 9.9 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2023-03-03 | present |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2023-03-03 | present |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-01-06 | 2023-03-03 |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2023-01-06 | 2023-03-03 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 4 - Advising on securities | 2017-01-03 | 2022-03-18 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 9 - Asset management | 2017-01-03 | 2022-03-18 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-06-15 | 2016-03-31 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-03-20 | 2016-03-31 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2015-03-20 | 2016-03-31 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2015-03-20 | 2016-03-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiao Chen 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.