Xiaoyan Jiang
蔣小燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoyan Jiang (蔣小燕), a licensed Responsible Officer with CE reference AVP036. Currently licensed at 1 firm(s): Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-04 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-09-04 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-25 | 2019-09-04 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-10-25 | 2019-09-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-05 | 2013-04-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-29 | 2013-04-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-29 | 2013-04-19 |