Xu Jian
見旭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xu Jian (見旭), a licensed former licensee with CE reference AXW641. This person has 13.5 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2023-08-31 | 2025-08-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2020-01-14 | 2023-05-17 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 - Dealing in futures contracts | 2020-01-14 | 2023-05-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-01 | 2020-01-14 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2016-11-01 | 2020-01-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2011-08-23 | 2016-08-03 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-08-23 | 2016-08-03 |