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LUO Xuan

羅烜
CE AQS758Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LUO Xuan (CE number AQS758) is an individual licensed by the Hong Kong SFC. First licensed on 2008-04-01. 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 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerChina International Capital Corporation Hong Kong Securities Limited
中國國際金融香港證券有限公司

Licence Record (7)

2024-08-16 – present Current
China International Capital Corporation Hong Kong Securities Limited RO
RA 1 RA 2 RA 4 RA 5
2024-06-14 – 2024-08-16
China International Capital Corporation Hong Kong Securities Limited Rep
RA 1 RA 2 RA 4 RA 5
2020-07-06 – 2021-06-04
CITIC Securities International Global Markets Limited RO
RA 1 RA 2
2017-10-17 – 2020-07-06
CITIC Securities International Global Markets Limited Rep
RA 1 RA 2
2008-04-01 – 2016-04-13
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 7
2008-04-01 – 2016-04-13
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1
2008-04-01 – 2008-11-24
Credit Suisse Futures (Hong Kong) Limited Rep
RA 2 RA 7

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/AQS758