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NI Xiang Feng

CE AFY231Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NI Xiang Feng (CE number AFY231) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerPrime China Investments and Advisory Limited
華大投資和顧問有限公司
Responsible OfficerPrime China Securities Limited
華大證券有限公司

Licence Record (5)

2019-11-08 – present Current
Prime China Investments and Advisory Limited RO
RA 4 RA 9
2016-12-22 – present Current
Prime China Securities Limited RO
RA 1 RA 4
2016-10-19 – 2016-12-22
Prime China Securities Limited Rep
RA 1 RA 4
2003-04-01 – 2016-09-06
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2016-09-06
Shenwan Hongyuan Futures (H.K.) Limited Rep
RA 2 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AFY231