SFC licenceholder ATX492 XUE Yan 薛岩

Licences

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

Updated: 25 February 2020

Institution Role Licences Start date End date
BOCHK Asset Management Limited 中銀香港資產管理有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) 15 March 2019
BOCHK Asset Management Limited 中銀香港資產管理有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [9] (Asset Management) 13 September 2016 15 March 2019
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE [1] (Dealing in Securities) 23 November 2015 31 May 2016
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE [4] (Advising on Securities) 23 November 2015 29 February 2016
CLSA Asset Management Limited 中信里昂資產管理有限公司 RE [1] (Dealing in Securities) 10 February 2015 31 May 2016
CLSA Asset Management Limited 中信里昂資產管理有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 07 October 2009 31 May 2016