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TAN Xiaoqian

譚小倩
CE BGQ372Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TAN Xiaoqian (CE number BGQ372) is an individual licensed by the Hong Kong SFC. First licensed on 2015-12-11. 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 2 firms.

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)

CapacityCompany / Institution
Responsible OfficerPhoenician Limited
富理基有限公司
Responsible OfficerPhoenician Securities Limited
富理基證券有限公司

Licence Record (4)

2019-09-09 – 2023-06-26
Orient Securities (Hong Kong) Limited RO
RA 1
2017-08-25 – 2019-09-09
Orient Securities (Hong Kong) Limited Rep
RA 1
2016-04-15 – 2017-05-12
CMB International Capital Limited Rep
RA 1 RA 6
2015-12-11 – 2016-07-12
CMB International Securities Limited Rep
RA 1

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/BGQ372