Nan Xia
夏楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nan Xia (夏楠), a licensed former licensee with CE reference AQL118. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Swiss China Capital Limited |
Rep | Type 1 — Dealing in securities | 2018-01-11 | 2018-01-31 |
| Swiss China Capital Limited |
Rep | Type 4 — Advising on securities | 2018-01-11 | 2018-01-31 |
| Swiss China Capital Limited |
Rep | Type 9 — Asset management | 2018-01-11 | 2018-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-06-21 | 2016-05-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-28 | 2016-05-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2011-03-28 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2011-03-28 | 2013-08-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2008-02-01 | 2009-08-06 |