Jian (SFC:ACQ449) Liu
劉健
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jian (SFC:ACQ449) Liu (劉健), a licensed former licensee with CE reference ACQ449. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-08-01 | 2009-04-09 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-05-08 | 2009-04-09 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2004-04-15 | 2004-07-30 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-04-15 | 2009-04-09 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-15 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-15 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-31 |