Tian (SFC:AGL914) Xia
夏天
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tian (SFC:AGL914) Xia (夏天), a licensed former licensee with CE reference AGL914. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-01-25 | 2017-01-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-01-25 | 2017-01-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-01-25 | 2017-01-21 |
| 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 | 2012-06-26 | 2013-12-31 |
| 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 | 2008-11-13 | 2013-12-31 |
| 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 | 2007-06-20 | 2008-10-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2004-05-17 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-05-17 |