SFC Licences of XIE Fan 謝凡

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

Institution Role Licences Start date End date
J.P. Morgan Securities (Far East) Limited RE 6 16 September 2021
J.P. Morgan Securities (Far East) Limited RE 4 16 September 2021
J.P. Morgan Securities (Far East) Limited RE 1 16 September 2021
ICBC International Capital Limited 工銀國際融資有限公司 RE 4 18 October 2018 23 July 2021
ICBC International Capital Limited 工銀國際融資有限公司 RE 1 03 September 2018 23 July 2021
ICBC International Securities Limited 工銀國際證券有限公司 RE 1 03 September 2018 23 July 2021
ICBC International Capital Limited 工銀國際融資有限公司 RE 6 03 September 2018 23 July 2021
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 03 October 2017 05 August 2018
KGI Capital Asia Limited 凱基金融亞洲有限公司 RE 6 25 May 2017 05 August 2018
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 25 May 2017 02 October 2017
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 6 04 March 2016 11 April 2017
Win Securities Limited 贏證券有限公司 RE 1 09 September 2013 01 April 2014
Monex Boom Securities (H.K.) Limited 寶盛證券(香港)有限公司 RE 1 09 September 2013 01 April 2014