Rui (SFC:AXK860) Xu
徐睿
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rui (SFC:AXK860) Xu (徐睿), a licensed former licensee with CE reference AXK860. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 9 - Asset management | 2014-12-29 | 2015-08-06 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-06-24 | 2015-08-06 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-06-24 | 2015-08-06 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-06-16 | 2012-12-31 |