Jian Xie
謝健
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jian Xie (謝健), a licensed former licensee with CE reference BGU456. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-02-04 | 2019-10-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-02-04 | 2019-10-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 - Asset management | 2019-02-04 | 2019-10-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-10 | 2019-02-04 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-10-10 | 2019-10-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-10 | 2019-02-04 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-10-10 | 2019-02-12 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 - Asset management | 2017-10-10 | 2019-02-04 |