Yan (SFC:BBT492) Xiao
肖燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:BBT492) Xiao (肖燕), CE reference BBT492. Currently licensed at 2 firm(s): TFI Capital Limited, TFI Securities and Futures Limited. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TFI Capital Limited 天風國際資本市場有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-02-27 | present |
| TFI Securities and Futures Limited 天風國際證券與期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2025-09-30 | present |
| TFI Capital Limited 天風國際資本市場有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-09-30 | 2026-02-27 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-03-23 | 2025-05-21 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-07-30 | 2020-12-11 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-21 | 2020-02-29 |
| Mason Global Capital Limited 茂宸環球資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-09-21 | 2020-02-29 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-20 | 2018-09-15 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-07-20 | 2018-09-15 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-06-28 | 2017-07-09 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-06-28 | 2017-07-09 |
| Partners Capital International Limited 博大資本國際有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-22 | 2016-06-21 |
| Partners Capital Securities Limited 博大證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-22 | 2014-09-15 |
| Partners Asset Management (HK) Limited 博大資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-22 | 2014-07-29 |
| Partners Capital International Limited 博大資本國際有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-08-22 | 2016-06-21 |
| Partners Asset Management (HK) Limited 博大資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2013-08-22 | 2014-07-29 |