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QIU Xiaowen

邱曉文
CE AOT974Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

QIU Xiaowen (CE number AOT974) is an individual licensed by the Hong Kong SFC. First licensed on 2007-04-04. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerJefferies Hong Kong Limited
富瑞金融集團香港有限公司

Licence Record (7)

2011-12-16 – present Current
Jefferies Hong Kong Limited RO
RA 1
2011-10-31 – 2011-12-16
Jefferies Hong Kong Limited Rep
RA 1
2010-06-14 – 2011-09-17
Newedge Broker Hong Kong Limited Rep
RA 2
2008-09-17 – 2011-09-17
SG Asset Finance (Hong Kong) Limited Rep
RA 1 RA 2
2008-09-17 – 2009-07-31
Newedge Broker Limited Rep
RA 1 RA 7
2008-04-24 – 2008-08-31
Countrywide Capital Markets Asia (H.K.) Limited RO
RA 1
2007-04-04 – 2008-04-24
Countrywide Capital Markets Asia (H.K.) Limited Rep
RA 1

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/AOT974