Congcong Nie
聶聰聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Congcong Nie (聶聰聰), a licensed Representative with CE reference BGS694. Currently licensed at 2 firm(s): CITIC Securities (Hong Kong) Limited, CLSA Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-11-25 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-09-10 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-09-10 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-12-04 | 2021-07-16 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-11-21 | 2021-07-16 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-12-21 | 2018-09-21 |