SFC Licences of NIU Xiao 牛筱
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Capstone Capital Management Limited 頂石資產管理有限公司 | RO | 9 | 31 October 2023 | |
| Capstone Capital Management Limited 頂石資產管理有限公司 | RO | 4 | 31 October 2023 | |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 | RO | 9 | 18 March 2021 | 29 September 2023 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 | RO | 4 | 18 March 2021 | 29 September 2023 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 | RO | 1 | 18 March 2021 | 29 September 2023 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 | RE | 9 | 08 June 2017 | 28 December 2020 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 4 | 08 June 2017 | 28 December 2020 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 08 June 2017 | 28 December 2020 |
| Beevest Fortune Asset Management Limited 蜂投財富資產管理有限公司 | RE | 4 | 27 July 2015 | 05 February 2016 |
| Beevest Fortune Asset Management Limited 蜂投財富資產管理有限公司 | RE | 9 | 02 July 2015 | 05 February 2016 |