Xiangxiao Sun
孫祥霄
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiangxiao Sun (孫祥霄), a licensed former licensee with CE reference ALY131. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2021-10-29 | 2025-07-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2021-10-29 | 2025-07-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-18 | 2021-10-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-10-18 | 2021-10-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-16 | 2017-08-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-12-16 | 2017-08-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-12-16 | 2016-08-31 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-07 | 2015-11-09 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2007-09-03 | 2015-07-11 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-03-07 | 2007-08-10 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-04-20 | 2007-08-10 |