SFC Licences of CHENG Xiaomin 程晓敏
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
UBS Securities Hong Kong Limited | RE | 6 | 20 August 2021 | |
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 | RE | 1 | 23 September 2016 | 23 June 2021 |
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 | RE | 6 | 11 August 2016 | 23 June 2021 |