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XIAO Julia

肖楠
CE AYO955Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

XIAO Julia (CE number AYO955) is an individual licensed by the Hong Kong SFC. First licensed on 2012-06-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerCMB International Capital Limited
招銀國際融資有限公司

Licence Record (7)

2026-04-09 – present Current
CMB International Capital Limited RO
RA 1 RA 6
2025-04-24 – 2025-12-31
ORI Capital Limited Rep
RA 9
2018-08-09 – 2023-07-27
Morgan Stanley Asia Limited RO
RA 1 RA 6
2018-07-31 – 2018-08-09
Morgan Stanley Asia Limited Rep
RA 1 RA 6
2016-12-19 – 2018-05-05
UBS Securities Hong Kong Limited RO
RA 6
2014-07-07 – 2016-12-18
UBS Securities Hong Kong Limited RO
RA 6
2012-06-07 – 2014-07-07
UBS Securities Hong Kong 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/AYO955