SFC Licences of HAN Xu 韓旭
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 | RO | 6 | 09 April 2021 | |
| Shanggu Securities Limited 上古證券有限公司 | RO | 4 | 09 April 2021 | |
| Shanggu Securities Limited 上古證券有限公司 | RO | 1 | 09 April 2021 | |
| UBS Securities Hong Kong Limited | RE | 6 | 19 December 2016 | 11 October 2017 |
| UBS Securities Hong Kong Limited | RE | 6 | 07 June 2012 | 18 December 2016 |