Yan (SFC:AZS032) Liu
劉妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:AZS032) Liu (劉妍), a licensed former licensee with CE reference AZS032. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-16 | 2018-08-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-05-16 | 2018-08-31 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-10-07 | 2017-04-20 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 - Advising on securities | 2013-09-23 | 2014-09-01 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-19 | 2014-09-01 |