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JIANG Xiaoyan

蔣小燕
CE AVP036Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

JIANG Xiaoyan (CE number AVP036) is an individual licensed by the Hong Kong SFC. First licensed on 2010-07-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

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

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (4)

2019-09-04 – present Current
Guotai Junan Securities (Hong Kong) Limited RO
RA 1 RA 4
2013-10-25 – 2019-09-04
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2010-07-29 – 2013-04-19
Citigroup Global Markets Asia Limited Rep
RA 1 RA 4
2010-07-29 – 2013-04-19
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 2

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/AVP036