Lan Xiao
肖蘭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lan Xiao (肖蘭), a licensed former licensee with CE reference AQP591. Total licence records on file: 9.
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 | 2015-03-18 | 2016-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-03-18 | 2016-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-03-18 | 2016-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-08-20 | 2015-03-18 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-03 | 2015-03-18 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-07-03 | 2015-03-18 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-03 | 2014-03-17 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-03-03 | 2014-03-17 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2008-03-03 | 2014-03-17 |