Xin Xiao
肖欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xin Xiao (肖欣), a licensed former licensee with CE reference AWU102. This person has 8.9 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-09-06 | 2020-06-24 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-09-24 | 2020-06-24 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-09-24 | 2020-06-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-11 | 2015-09-12 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-10-11 | 2015-09-12 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-27 | 2012-08-17 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-13 | 2012-08-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xin Xiao during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.