CHEN Xiaohua

陳曉樺

CE BAM436Licensed IndividualResponsible OfficerSFO licence active

CHEN Xiaohua (CE number BAM436) is an individual licensed by the Hong Kong SFC. First licensed on 2012-11-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	XHK Limited

Licence Record (14)

2020-07-22 – present Current

XHK Limited RO

RA 1 RA 2

2023-05-23 – 2024-10-28

Arta Asset Management Limited RO

RA 1

2023-05-23 – 2024-10-28

Arta Global Markets Limited RO

RA 1

2023-05-23 – 2024-10-28

Arta Global Futures Limited RO

RA 2

2023-02-07 – 2024-10-28

Arta Asset Management Limited Rep

RA 1 RA 4 RA 9

2023-02-07 – 2024-10-28

Arta Global Markets Limited Rep

RA 1 RA 4 RA 9

2023-02-07 – 2023-05-23

Arta Global Futures Limited Rep

RA 2

2019-03-14 – 2021-05-27

XHK Limited Rep

RA 1 RA 2

2018-03-13 – 2018-07-13

CITIC Securities Brokerage (HK) Limited Rep

RA 1

2017-10-03 – 2018-01-10

Hao Tian Asset Management Limited Rep

RA 9

2017-08-30 – 2018-01-10

Hao Tian International Futures Limited Rep

RA 2

2017-05-04 – 2018-01-10

Hao Tian International Securities Limited Rep

RA 1

2015-11-23 – 2017-03-16

CITIC Futures International Company Limited Rep

RA 2

2012-11-19 – 2018-07-13

CITIC Securities Futures (HK) 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/BAM436