XIAO Yan

肖燕

CE BBT492Licensed IndividualResponsible OfficerSFO licence active

XIAO Yan (CE number BBT492) is an individual licensed by the Hong Kong SFC. First licensed on 2013-08-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	TFI Capital Limited 天風國際資本市場有限公司
Representative	TFI Securities and Futures Limited 天風國際證券與期貨有限公司

Licence Record (12)

2026-02-27 – present Current

TFI Capital Limited RO

RA 6

2025-09-30 – present Current

TFI Securities and Futures Limited Rep

RA 1

2025-09-30 – 2026-02-27

TFI Capital Limited Rep

RA 6

2021-03-23 – 2025-05-21

Guotai Junan Capital Limited Rep

RA 6

2020-07-30 – 2020-12-11

Futu Securities International (Hong Kong) Limited Rep

RA 1

2018-09-21 – 2020-02-29

Mason Securities Limited Rep

RA 1

2018-09-21 – 2020-02-29

Mason Global Capital Limited Rep

RA 6

2017-07-20 – 2018-09-15

VMS Securities Limited Rep

RA 1 RA 6

2016-06-28 – 2017-07-09

Yuanta Securities (Hong Kong) Company Limited Rep

RA 1 RA 6

2013-08-22 – 2016-06-21

Partners Capital International Limited Rep

RA 1 RA 6

2013-08-22 – 2014-09-15

Partners Capital Securities Limited Rep

RA 1

2013-08-22 – 2014-07-29

Partners Asset Management (HK) Limited Rep

RA 4 RA 9

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/BBT492