Wen Xiao
肖文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wen Xiao (肖文), a licensed Responsible Officer with CE reference BJU213. Currently licensed at 1 firm(s): Annum Asset Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Annum Asset Management (Hong Kong) Limited |
RO | Type 1 - Dealing in securities | 2021-07-20 | present |
| Annum Asset Management (Hong Kong) Limited |
RO | Type 4 - Advising on securities | 2020-02-26 | present |
| Annum Asset Management (Hong Kong) Limited |
RO | Type 9 - Asset management | 2020-02-26 | present |
| Annum Asset Management (Hong Kong) Limited |
RO | Type 5 - Advising on futures contracts | 2020-02-26 | 2026-05-15 |
| Annum Asset Management (Hong Kong) Limited |
Rep | Type 4 - Advising on securities | 2020-01-22 | 2020-02-26 |
| Annum Asset Management (Hong Kong) Limited |
Rep | Type 9 - Asset management | 2020-01-22 | 2020-02-26 |
| CSOP Asset Management Limited 南方東英資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-18 | 2019-09-14 |
| CSOP Asset Management Limited 南方東英資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-09-18 | 2019-09-14 |
| CSOP Asset Management Limited 南方東英資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-09-18 | 2019-09-14 |