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ZHU Xiaokang

朱曉康
CE BNL517Licensed IndividualSFO licence active
Official SFC record

ZHU Xiaokang (CE number BNL517) is an individual licensed by the Hong Kong SFC. First licensed on 2018-08-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeCITIC Securities (Hong Kong) Limited
中信證券(香港)有限公司
RepresentativeCLSA Limited
中信里昂證券有限公司

Licence Record (5)

2023-03-08 – present Current
CLSA Limited Rep
RA 1
2023-03-08 – present Current
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2021-11-18 – 2023-02-15
ICBC International Capital Limited Rep
RA 1 RA 4 RA 6
2021-11-18 – 2023-02-15
ICBC International Securities Limited Rep
RA 1
2018-08-30 – 2021-02-04
Barclays Capital Asia Limited Rep
RA 1 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/BNL517