Mali Xie
謝瑪麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mali Xie (謝瑪麗), a licensed Representative with CE reference BJM104. Currently licensed at 1 firm(s): SPDB International Investment Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-10-06 | present |
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 |
Rep | Type 9 — Asset management | 2021-10-06 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-19 | 2021-09-10 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-11-19 | 2021-09-10 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2020-11-19 | 2021-09-10 |
| Lego Securities Limited 力高證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-08-12 | 2020-04-20 |
| Lego Asset Management Limited 力高資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-08-12 | 2020-04-20 |
| Lego Asset Management Limited 力高資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-08-12 | 2020-04-20 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-01-30 | 2019-07-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-14 | 2019-07-31 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-14 | 2019-07-31 |