Fan Xie
謝凡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fan Xie (謝凡), a licensed former licensee with CE reference BBJ699. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2024-02-09 | 2024-03-14 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2024-02-09 | 2024-03-14 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2021-09-16 | 2023-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2021-09-16 | 2023-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2021-09-16 | 2023-06-20 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-18 | 2021-07-23 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-03 | 2021-07-23 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-03 | 2021-07-23 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-09-03 | 2021-07-23 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | 2018-08-05 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-25 | 2017-10-02 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-05-25 | 2018-08-05 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-03-04 | 2017-04-11 |
| Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-09 | 2014-04-01 |
| Win Securities Limited 贏證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-09 | 2014-04-01 |