SFC Licences of XIE Mali 謝瑪麗
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 | RE | 9 | 06 October 2021 | |
| SPDB International Investment Management Limited 浦銀國際投資管理有限公司 | RE | 4 | 06 October 2021 | |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 9 | 19 November 2020 | 10 September 2021 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 19 November 2020 | 10 September 2021 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 1 | 19 November 2020 | 10 September 2021 |
| Lego Asset Management Limited 力高資產管理有限公司 | RE | 9 | 12 August 2019 | 20 April 2020 |
| Lego Asset Management Limited 力高資產管理有限公司 | RE | 4 | 12 August 2019 | 20 April 2020 |
| Lego Securities Limited 力高證券有限公司 | RE | 1 | 12 August 2019 | 20 April 2020 |
| Quam Asset Management Limited 華富建業資產管理有限公司 | RE | 9 | 30 January 2018 | 31 July 2019 |
| Quam Asset Management Limited 華富建業資產管理有限公司 | RE | 4 | 14 June 2017 | 31 July 2019 |
| Quam Securities Limited 華富建業證券有限公司 | RE | 1 | 14 June 2017 | 31 July 2019 |