Xiaoxi Yuan
袁小茜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoxi Yuan (袁小茜), a licensed former licensee with CE reference BHC153. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-03-05 | 2023-03-07 |
| DaoKou Asset Management Limited 道口資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-01-14 | 2025-03-24 |
| DaoKou Asset Management Limited 道口資產管理有限公司 |
RO | Type 9 — Asset management | 2020-01-14 | 2025-03-24 |
| DaoKou Securities Limited 道口證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-22 | 2021-03-05 |
| DaoKou Asset Management Limited 道口資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-25 | 2020-01-14 |
| DaoKou Asset Management Limited 道口資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-10-25 | 2020-01-14 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-15 | 2017-03-06 |