Xiao Xiao Lin
林瀟瀟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Xiao Lin (林瀟瀟), a licensed former licensee with CE reference BER963. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Allspring Global Investments (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2024-06-20 | 2024-09-27 |
| Allspring Global Investments (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2024-06-20 | 2024-09-27 |
| Allspring Global Investments (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2023-05-02 | 2024-06-20 |
| Allspring Global Investments (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2023-05-02 | 2024-06-20 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2016-03-14 | 2022-03-31 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2016-03-14 | 2022-03-31 |
| Wells Fargo Securities Asia Limited | Rep | Type 9 — Asset management | 2016-03-14 | 2022-03-31 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-18 | 2015-11-07 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-12-18 | 2015-11-07 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 9 — Asset management | 2014-12-18 | 2015-11-07 |