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XIAO Chen

肖琛
CE BSD507Licensed IndividualSFO licence active
Official SFC record

XIAO Chen (CE number BSD507) is an individual licensed by the Hong Kong SFC. First licensed on 2022-01-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeBaring Asset Management (Asia) Limited
霸菱資產管理(亞洲)有限公司

Licence Record (3)

2023-11-23 – present Current
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4
2022-01-19 – 2023-09-29
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2022-01-19 – 2023-09-29
HSBC Investment Funds (Hong Kong) 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/BSD507