Xu Han
韓旭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xu Han (韓旭), a licensed Responsible Officer with CE reference AOE724. Currently licensed at 1 firm(s): Shanggu Securities 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.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-04-09 | present |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 4 — Advising on securities | 2021-04-09 | present |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-04-09 | present |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2016-12-19 | 2017-10-11 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2016-12-18 |