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WANG Xiaochuan

王曉川
CE AQP721Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WANG Xiaochuan (CE number AQP721) is an individual licensed by the Hong Kong SFC. First licensed on 2008-05-21. 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). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerSDIC Securities (Hong Kong) Limited
國投證券（香港）有限公司
Responsible OfficerSDIC Securities Futures (Hong Kong) Limited
國投證券期貨（香港）有限公司

Licence Record (7)

2017-08-25 – present Current
SDIC Securities Futures (Hong Kong) Limited RO
RA 2 RA 5
2011-07-07 – present Current
SDIC Securities (Hong Kong) Limited RO
RA 1 RA 4
2011-08-12 – 2017-08-25
SDIC Securities Futures (Hong Kong) Limited Rep
RA 2
2011-07-07 – 2014-09-15
SDIC Securities International Financial Holdings Limited RO
RA 1 RA 4
2010-11-16 – 2011-07-07
SDIC Securities (Hong Kong) Limited Rep
RA 1
2010-05-12 – 2011-07-07
SDIC Securities International Financial Holdings Limited Rep
RA 1
2008-05-21 – 2010-04-19
GF Securities (Hong Kong) Brokerage 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/AQP721