Charles Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Liu, a licensed former licensee with CE reference AXW723. This person has 6.8 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-04-23 | 2018-06-26 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-22 | 2018-06-26 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-08-22 | 2018-06-26 |