Xinhan Xia

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • China International Capital Corporation (UK) Limited

    FRN 507542

    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Material risk taker (since 1 Dec 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Oct 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Nov 2023)
    • CF11 Money Laundering Reporting (18 Feb 2010 to 26 May 2010)
    • CF30 Customer (18 Feb 2010 to 8 Dec 2019)
    • CF3 Chief Executive (18 Feb 2010 to 8 Dec 2019)
    • CF1 Director (18 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Feb 2010 to 26 May 2010)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 13 May 2005)

Recent activity

Updates to this individual's record on the FCA register.

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