Yan Xiao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Xiao (肖燕), a licensed Responsible Officer with CE reference BBT492. Currently licensed at 2 firm(s): TFI Capital Limited, TFI Securities and Futures Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 11.7 years of SFC licence history. Total licence records on file: 16.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yan Xiao during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.