Xiao Shang
尚笑
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Shang (尚笑), a licensed Representative with CE reference BIG870. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) 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: 5.
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 |
Rep | Type 4 - Advising on securities | 2020-09-02 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-08-13 | present |
| 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 | 2020-08-13 | present |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-26 | 2020-08-07 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-09-26 | 2020-08-07 |