Wendy Wing Yin Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wendy Wing Yin Liu (廖穎賢), a licensed Responsible Officer with CE reference ANE330. Currently licensed at 2 firm(s): First Securities (HK) Limited, First Global Corporate Finance Co., Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 19.0 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-11-19 | present |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2024-09-26 | present |
| Euto Capital Partners Limited 裕韜資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-11-05 | 2024-08-28 |
| Euto Capital Partners Limited 裕韜資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2021-10-22 | 2021-11-05 |
| AEM Capital Limited 明德企業融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-04-20 | 2018-04-20 |
| AEM Investment Services Limited 明德企業投資有限公司 |
RO | Type 1 - Dealing in securities | 2018-04-20 | 2021-10-11 |
| AEM Investment Services Limited 明德企業投資有限公司 |
RO | Type 4 - Advising on securities | 2018-04-20 | 2021-10-11 |
| AEM Capital Limited 明德企業融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-04-19 | 2021-10-11 |
| Quam Capital Limited 華富建業企業融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-06-13 | 2018-04-14 |
| Quam Capital Limited 華富建業企業融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-04-07 | 2014-06-13 |
| Emperor Corporate Finance Limited 英皇企業融資有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-25 | 2014-03-28 |
| Emperor Corporate Finance Limited 英皇企業融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-07-25 | 2014-03-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-11 | 2012-03-09 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-11 | 2012-03-09 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-08-10 | 2011-03-18 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2008-02-26 | 2009-01-10 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-02-26 | 2009-01-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-04-20 | 2008-02-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-04-20 | 2008-02-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-04-20 | 2008-02-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wendy Wing Yin Liu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.