Xiaofeng (SFC:ADE404) Liu
劉曉峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaofeng (SFC:ADE404) Liu (劉曉峰), a licensed former licensee with CE reference ADE404. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| IAM Legacy Limited 星安傳承有限公司 |
RO | Type 4 — Advising on securities | 2010-07-06 | 2013-07-11 |
| Kaiser KT Capital Limited 嘉信開泰融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-07-06 | 2013-07-11 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 — Dealing in securities | 2006-03-24 | 2009-09-01 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 — Advising on securities | 2006-03-24 | 2009-09-01 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-03-24 | 2009-09-01 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-09-23 | 2006-03-24 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2005-09-23 | 2006-03-24 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-09-23 | 2006-03-24 |