Xiao Ye
叶晓
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Ye (叶晓), a licensed Representative with CE reference AUM476. Currently licensed at 1 firm(s): BNP Paribas Securities (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-08-28 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2025-08-28 | present |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2022-05-04 | 2025-04-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-05 | 2021-06-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-10-05 | 2021-06-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-10-05 | 2021-06-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-09-20 | 2015-08-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-09-20 | 2015-08-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-09-20 | 2015-08-08 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 - Dealing in securities | 2010-01-12 | 2010-09-11 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-01-12 | 2010-09-11 |