Xiaoying Chen
陳晓穎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoying Chen (陳晓穎), a licensed Responsible Officer with CE reference AYU716. 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: 12.
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 |
RO | Type 1 — Dealing in securities | 2026-03-25 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2026-03-25 | 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 | 2026-03-25 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-09-29 | 2026-03-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-09-29 | 2026-03-25 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-09-29 | 2026-03-25 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2018-05-08 | 2025-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2018-05-08 | 2025-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2018-05-08 | 2025-06-20 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2012-01-13 | 2016-03-16 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2012-01-13 | 2016-03-16 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | 2012-01-13 | 2016-03-16 |