Yan (SFC:ARI569) Liu
劉研
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:ARI569) Liu (劉研), a licensed Representative with CE reference ARI569. Currently licensed at 2 firm(s): Goldman Sachs (Asia) L.L.C., Goldman Sachs (Asia) Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 9 - Asset management. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | 2024-01-29 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-09-21 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2010-05-03 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | 2020-09-21 | 2021-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-15 | 2010-03-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-07-15 | 2010-03-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-07-15 | 2010-03-15 |