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NI Xiaoxing

倪曉星
CE BQM053Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NI Xiaoxing (CE number BQM053) is an individual licensed by the Hong Kong SFC. First licensed on 2023-06-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerShanghai Securities (Hong Kong) Limited
上海證券(香港)有限公司

Licence Record (1)

2023-06-15 – present Current
Shanghai Securities (Hong Kong) Limited RO
RA 1 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/BQM053