Julia Xiao
肖楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Julia Xiao (肖楠), a licensed Responsible Officer with CE reference AYO955. Currently licensed at 1 firm(s): CMB International Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2026-04-09 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-04-09 | present |
| ORI Capital Limited 新元資本有限公司 |
Rep | Type 9 — Asset management | 2025-04-24 | 2025-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-09 | 2023-07-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-08-09 | 2023-07-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2018-07-31 | 2018-08-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-07-31 | 2018-08-09 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2016-12-19 | 2018-05-05 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2014-07-07 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2014-07-07 |