Xiaoshan Gao
高小杉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoshan Gao (高小杉), a licensed Responsible Officer with CE reference AZI801. Currently licensed at 1 firm(s): Alpha Elephant Capital Management (Hong Kong) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpha Elephant Capital Management (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2023-09-20 | present |
| Alpha Elephant Capital Management (Hong Kong) Limited |
RO | Type 9 — Asset management | 2023-08-28 | present |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-08-19 | 2022-11-30 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-08-19 | 2022-11-30 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-08-19 | 2022-11-30 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-06-21 | 2022-06-13 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-06-21 | 2022-06-13 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-18 | 2016-05-27 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-22 | 2016-05-27 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-22 | 2016-05-27 |
| Cinda International Futures Limited 信達國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-07-03 | 2015-04-30 |
| Cinda International Securities Limited 信達國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-15 | 2015-04-30 |