Shao Li Liu
劉曉黎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shao Li Liu (劉曉黎), a licensed Responsible Officer with CE reference ABV412. Currently licensed at 1 firm(s): Potomac Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Potomac Capital Limited 波多馬克投資有限公司 |
RO | Type 9 — Asset management | 2008-06-13 | present |
| Potomac Capital Limited 波多馬克投資有限公司 |
RO | Type 1 — Dealing in securities | 2004-03-08 | present |
| PaydenPotomac Limited | RO | Type 9 — Asset management | 2006-07-04 | 2009-10-26 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-09 |