Xiaonian Xu
許小年
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaonian Xu (許小年), a licensed former licensee with CE reference ADT335. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2005-03-22 | 2006-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | 2005-03-22 | 2006-10-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-07 | 2005-02-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2004-12-07 | 2005-02-02 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2004-10-14 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | present | 2004-10-14 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-10-14 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-10-14 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-10-14 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-10-14 |
| China International Capital Corporation (International) Limited 中國國際金融(國際)有限公司 |
Rep | Type 9 - Asset management | present | 2004-10-14 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 9 - Asset management | present | 2004-10-14 |