Xiao Chen
陳曉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Chen (陳曉), a licensed Responsible Officer with CE reference BFC998. Currently licensed at 1 firm(s): CCB Principal Asset Management (Hong Kong) Co., Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2023-03-03 | present |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2023-03-03 | present |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-01-06 | 2023-03-03 |
| CCB Principal Asset Management (Hong Kong) Co., Limited 建信資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2023-01-06 | 2023-03-03 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2017-01-03 | 2022-03-18 |
| SDIC Securities Asset Management (Hong Kong) Limited 國投證券資產管理（香港）有限公司 |
Rep | Type 9 — Asset management | 2017-01-03 | 2022-03-18 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-06-15 | 2016-03-31 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-20 | 2016-03-31 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-20 | 2016-03-31 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-03-20 | 2016-03-31 |