Xiao (SFC:ARI071) Wang
王瀟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao (SFC:ARI071) Wang (王瀟), a licensed former licensee with CE reference ARI071. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-05 | 2021-07-16 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-08-05 | 2021-07-16 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-08-05 | 2021-07-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-24 | 2016-08-05 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-24 | 2016-08-05 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-04-24 | 2016-08-05 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-11 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-11 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-07-11 | 2016-01-01 |