Xiao Niu
牛筱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Niu (牛筱), a licensed Responsible Officer with CE reference BFO764. Currently licensed at 1 firm(s): Capstone Capital Management 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 |
|---|---|---|---|---|
| Capstone Capital Management Limited 頂石資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-10-31 | present |
| Capstone Capital Management Limited 頂石資產管理有限公司 |
RO | Type 9 — Asset management | 2023-10-31 | present |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-03-18 | 2023-09-29 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-03-18 | 2023-09-29 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 9 — Asset management | 2021-03-18 | 2023-09-29 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-08 | 2020-12-28 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-08 | 2020-12-28 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-06-08 | 2020-12-28 |
| Beevest Fortune Asset Management Limited 蜂投財富資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-07-27 | 2016-02-05 |
| Beevest Fortune Asset Management Limited 蜂投財富資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-07-02 | 2016-02-05 |