Xia Cao
曹霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xia Cao (曹霞), a licensed Responsible Officer with CE reference BDE572. Currently licensed at 1 firm(s): CITIC Securities Asset Management (HK) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2025-11-11 | present |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2025-09-10 | 2025-11-11 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-27 | 2014-11-08 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2014-03-27 | 2014-11-08 |