Elise Mingyan Xie
謝明燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Elise Mingyan Xie (謝明燕), a licensed former licensee with CE reference AZT347. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-05-22 | 2023-10-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-05-22 | 2023-10-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-02-21 | 2016-03-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-02-21 | 2016-03-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2012-06-26 | 2013-05-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2012-06-26 | 2013-05-31 |