Ting Xie
謝挺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ting Xie (謝挺), a licensed former licensee with CE reference BAG295. Total licence records on file: 7.
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 | 2020-05-21 | 2022-10-25 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2020-05-21 | 2022-10-25 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-04-27 | 2022-10-25 |
| 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 | 2020-04-27 | 2022-10-25 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-03-28 | 2020-04-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-03 | 2020-04-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2012-10-03 | 2013-03-01 |