Xia Kuang
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xia Kuang (匡霞), a licensed Responsible Officer with CE reference AML239. Currently licensed at 2 firm(s): Innovation Asset Management Co., Limited, Innovation Securities Co., Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 19.4 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-09-11 | present |
| Innovation Asset Management Co., Limited 鼎新資產管理有限公司 |
RO | Type 9 - Asset management | 2018-09-11 | present |
| Innovation Securities Co., Limited 鼎新證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-02-16 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-17 | 2015-04-16 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-17 | 2015-04-16 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-02 | 2014-03-06 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-11-02 | 2014-03-06 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-09-15 | 2012-07-31 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-19 | 2011-12-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | 2009-11-26 | 2012-07-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-07 | 2012-07-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2005-09-08 | 2006-08-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xia Kuang 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.