Zhan Xu
徐湛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhan Xu (徐湛), a licensed Responsible Officer with CE reference AQQ125. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) 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: 10.
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 |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-11-22 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-22 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-11-22 | present |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2014-12-05 | 2016-08-22 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-12-05 | 2016-08-22 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-16 | 2014-12-05 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-01-16 | 2014-12-05 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2012-10-25 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-10 | 2010-05-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-03-10 | 2010-05-10 |