SFC Licences of XIA Yang 夏阳

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Profound Capital Limited 雲川資本有限公司	RO	9	20 October 2023
Profound Capital Limited 雲川資本有限公司	RE	9	08 December 2021	20 October 2023
TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司	RO	4	09 May 2018	14 September 2021
TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司	RO	1	09 May 2018	14 September 2021
TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司	RE	2	09 May 2018	14 September 2021
TradeMaster Securities (Hong Kong) Limited 淘金者證券(香港)有限公司	RE	4	29 March 2018	09 May 2018
WaterValley Capital Management (HK) Limited 泓谷資本管理(香港)有限公司	RE	4	09 October 2017	09 March 2018
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司	RO	4	11 October 2016	30 June 2017
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司	RO	1	04 July 2016	30 June 2017
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司	RE	1	06 June 2016	04 July 2016
Merrill Lynch Far East Limited	RO	2	08 January 2016	04 March 2016
Merrill Lynch Far East Limited	RO	1	08 January 2016	04 March 2016
Merrill Lynch (Asia Pacific) Limited	RO	1	08 January 2016	04 March 2016
Merrill Lynch Far East Limited	RE	2	30 October 2015	08 January 2016
Merrill Lynch Far East Limited	RE	1	30 October 2015	08 January 2016
Merrill Lynch (Asia Pacific) Limited	RE	1	30 October 2015	08 January 2016
UBS Securities Asia Limited	RE	1	18 April 2013	21 October 2015
UBS Securities Hong Kong Limited	RE	7	18 April 2013	21 October 2015
UBS Securities Hong Kong Limited	RE	1	18 April 2013	21 October 2015
UBS Securities Hong Kong Limited	RO	7	06 July 2011	18 April 2013
UBS Securities Asia Limited	RO	1	11 November 2010	18 April 2013
UBS Securities Hong Kong Limited	RO	1	11 November 2010	18 April 2013
UBS Securities Hong Kong Limited	RE	1	18 May 2007	11 November 2010
UBS Securities Asia Limited	RE	1	16 March 2006	11 November 2010
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	09 December 2004	21 June 2005
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	1	09 December 2004	21 June 2005
Credit Suisse Futures (Hong Kong) Limited	RE	2	09 December 2004	21 June 2005
Credit Suisse Futures (Hong Kong) Limited	RE	7	09 December 2004	21 June 2005