Xia, Yang (SFC:ALN489) 夏阳
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 | China Renaissance Securities (Hong Kong) Limited | Rep | Dealing in securities | 2016-06-06 | 2016-07-04 | RO | Dealing in securities | 2016-07-04 | 2017-06-30 | RO | Advising on securities | 2016-10-11 | 2017-06-30 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2004-12-09 | 2005-06-21 |
| 3 | Credit Suisse Futures (Hong Kong) Limited | Rep | Automated trading services | 2004-12-09 | 2005-06-21 | Rep | Dealing in futures contracts | 2004-12-09 | 2005-06-21 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2004-12-09 | 2005-06-21 |
| 5 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2015-10-30 | 2016-01-08 | RO | Dealing in securities | 2016-01-08 | 2016-03-04 |
| 6 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2015-10-30 | 2016-01-08 | Rep | Dealing in securities | 2015-10-30 | 2016-01-08 | RO | Dealing in futures contracts | 2016-01-08 | 2016-03-04 | RO | Dealing in securities | 2016-01-08 | 2016-03-04 |
| 7 | Profound Capital Limited | Rep | Asset management | 2021-12-08 | 2023-10-20 | RO | Asset management | 2023-10-20 |
| 8 | TradeMaster Securities (Hong Kong) Limited | Rep | Advising on securities | 2018-03-29 | 2018-05-09 | Rep | Dealing in futures contracts | 2018-05-09 | 2021-09-14 | RO | Advising on securities | 2018-05-09 | 2021-09-14 | RO | Dealing in securities | 2018-05-09 | 2021-09-14 |
| 9 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2006-03-16 | 2010-11-11 | RO | Dealing in securities | 2010-11-11 | 2013-04-18 | Rep | Dealing in securities | 2013-04-18 | 2015-10-21 |
| 10 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2007-05-18 | 2010-11-11 | RO | Dealing in securities | 2010-11-11 | 2013-04-18 | RO | Automated trading services | 2011-07-06 | 2013-04-18 | Rep | Automated trading services | 2013-04-18 | 2015-10-21 | Rep | Dealing in securities | 2013-04-18 | 2015-10-21 |
| 11 | WATERVALLEY CAPITAL MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2017-10-09 | 2018-03-09 |
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