Xiaoxiang Cai
蔡小翔
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoxiang Cai (蔡小翔), a licensed former licensee with CE reference AVX210. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2013-07-29 | 2023-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2013-07-29 | 2023-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2013-07-29 | 2023-06-20 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-10-26 | 2013-07-05 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-10-26 | 2013-07-05 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2010-10-26 | 2013-07-05 |