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XIAO Yan

肖岩
CE BSJ854Licensed IndividualSFO licence active
Official SFC record

XIAO Yan (CE number BSJ854) is an individual licensed by the Hong Kong SFC. First licensed on 2022-07-11. 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 (2)

CapacityCompany / Institution
RepresentativeI Win Asset Management Limited
一盈資產管理有限公司
RepresentativeI Win Securities Limited
一盈證券有限公司

Licence Record (2)

2022-07-11 – present Current
I Win Securities Limited Rep
RA 1
2022-07-11 – present Current
I Win Asset Management Limited Rep
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/BSJ854