James Ying Yin Liu
廖英賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Ying Yin Liu (廖英賢), a licensed Responsible Officer with CE reference AAH739. Currently licensed at 1 firm(s): Mars Securities Company Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mars Securities Company Limited 億寶證券有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| Mars Securities Company Limited 億寶證券有限公司 |
RO | Type 4 — Advising on securities | present | 2003-11-29 |
| Mars Securities Company Limited 億寶證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-11-29 |
| Mars Securities Company Limited 億寶證券有限公司 |
RO | Type 9 — Asset management | present | 2003-11-29 |