Yun (SFC:BCK969) Xie
謝贇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yun (SFC:BCK969) Xie (謝贇), a licensed former licensee with CE reference BCK969. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-05-26 | 2015-08-21 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-12-09 | 2015-08-21 |
| BOCOM Schroder Asset Management (Hong Kong) Company Limited 交銀施羅德資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2013-12-09 | 2015-08-21 |