Xia Cao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xia Cao (曹霞), a licensed Responsible Officer with CE reference BDE572. Currently licensed at 1 firm(s): CITIC Securities Asset Management (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 1.6 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-27 | 2014-11-08 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2014-03-27 | 2014-11-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xia Cao 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.