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XU Dapeng

徐大鵬
CE AUZ670Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

XU Dapeng (CE number AUZ670) is an individual licensed by the Hong Kong SFC. First licensed on 2010-05-28. Their SFC licence is currently active. Accredited for regulated activities Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerROC Capital Management Limited

Licence Record (2)

2021-04-08 – present Current
ROC Capital Management Limited RO
RA 9
2010-05-28 – 2015-06-30
Oppenheimer Investments Asia Limited Rep
RA 6

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/AUZ670