Chen, Xiao (SFC:BFC998) 陳曉
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CCB Principal Asset Management (Hong Kong) Co., Limited | Rep | Advising on securities | 2023-01-06 | 2023-03-03 | Rep | Asset management | 2023-01-06 | 2023-03-03 | RO | Advising on securities | 2023-03-03 | RO | Asset management | 2023-03-03 |
| 2 | Essence Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2017-01-03 | 2022-03-18 | Rep | Asset management | 2017-01-03 | 2022-03-18 |
| 3 | ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2015-03-20 | 2016-03-31 | Rep | Asset management | 2015-03-20 | 2016-03-31 |
| 4 | ICBC INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-06-15 | 2016-03-31 |
| 5 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2015-03-20 | 2016-03-31 |
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