Hai Xin
忻海
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hai Xin (忻海), a licensed former licensee with CE reference AMC830. This person has 13.3 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-01-21 | 2021-12-31 |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 4 - Advising on securities | 2019-01-21 | 2021-12-31 |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 9 - Asset management | 2019-01-21 | 2021-12-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2015-07-06 | 2018-07-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2015-07-06 | 2018-07-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-07-06 | 2018-07-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 - Asset management | 2015-07-06 | 2018-07-20 |
| 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 | 2015-06-30 | 2015-06-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-13 | 2015-07-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-05-13 | 2015-07-06 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 - Asset management | 2015-05-13 | 2015-07-06 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-12 | 2012-08-02 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-04-12 | 2012-08-02 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 9 - Asset management | 2010-04-12 | 2012-08-02 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-06-16 | 2010-11-08 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2005-06-16 | 2010-07-02 |
| BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 |
Rep | Type 9 - Asset management | 2005-06-16 | 2010-07-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Hai Xin during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.