Siu Tao Shiu
蕭少滔
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Tao Shiu (蕭少滔), a licensed former licensee with CE reference AEL258. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Sunrise Capital Limited 華升資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-10-25 | 2017-06-09 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 1 — Dealing in securities | 2014-09-01 | 2015-12-11 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 4 — Advising on securities | 2014-09-01 | 2015-12-11 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-09-01 | 2015-12-11 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-15 | 2014-09-01 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 4 — Advising on securities | 2014-08-15 | 2014-09-01 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-08-15 | 2014-09-01 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-02 | 2014-07-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | 2011-09-02 | 2014-07-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-09-02 | 2014-07-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-04 | 2011-09-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-04 | 2011-09-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-04 | 2011-09-02 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2009-11-26 | 2011-07-04 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-17 | 2009-11-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-05-26 | 2010-07-28 |
| Karl Thomson Financial Advisory Limited 高信融資服務有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-08-08 | 2009-04-06 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
RO | Type 4 — Advising on securities | 2003-12-17 | 2008-02-04 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
RO | Type 6 — Advising on corporate finance | 2003-12-17 | 2008-02-04 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-17 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-17 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-17 |