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XIAO Qian

肖倩
CE BGA973Licensed IndividualSFO licence active
Official SFC record

XIAO Qian (CE number BGA973) is an individual licensed by the Hong Kong SFC. First licensed on 2015-08-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeGuotai Junan Futures (Hong Kong) Limited
國泰君安期貨(香港)有限公司
RepresentativeGuotai Junan Securities (Hong Kong) Limited
國泰君安證券(香港)有限公司

Licence Record (5)

2024-02-21 – present Current
Guotai Junan Futures (Hong Kong) Limited Rep
RA 2
2015-08-20 – present Current
Guotai Junan Securities (Hong Kong) Limited Rep
RA 1 RA 4
2019-08-01 – 2023-06-14
Shenwan Hongyuan Capital (H.K.) Limited Rep
RA 1 RA 4 RA 6
2017-10-23 – 2019-06-27
Ping An Securities (Hong Kong) Holdings Company Limited Rep
RA 1
2017-10-23 – 2019-06-27
Ping An of China Capital (Hong Kong) Company 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/BGA973