Roy Hsiao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roy Hsiao ( ), a licensed former licensee with CE reference BCD423. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
Rep | Type 9 — Asset management | 2022-05-03 | 2023-02-28 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-30 | 2023-02-28 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-12-30 | 2023-02-28 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-23 | 2021-12-30 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-12-23 | 2021-12-30 |
| ZACD Financial Group Limited |
RO | Type 1 — Dealing in securities | 2019-03-01 | 2021-11-30 |
| ZACD Financial Group Limited |
RO | Type 4 — Advising on securities | 2019-03-01 | 2021-11-30 |
| ZACD Financial Group Limited |
RO | Type 6 — Advising on corporate finance | 2019-03-01 | 2021-11-30 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-20 | 2018-07-10 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-29 | 2017-11-20 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-11 | 2016-08-13 |
| Celestial Capital Limited 時富融資有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-25 | 2015-04-03 |
| Celestial Capital Limited 時富融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-10-25 | 2015-04-03 |