Yuan Xiao
肖元
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuan Xiao (肖元), a licensed Responsible Officer with CE reference AZB291. Currently licensed at 2 firm(s): ICBC International Futures Limited, ICBC International Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC International Futures Limited 工銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-10-21 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2020-10-21 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-25 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-01-11 | 2018-04-25 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-01-11 | 2020-10-21 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-01-11 | 2020-10-21 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-06-04 | 2017-06-01 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-20 | 2017-06-01 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-02-20 | 2017-06-01 |