Xiaoji Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoji Liu (劉小吉), a licensed Responsible Officer with CE reference BEN198. Currently licensed at 1 firm(s): Chiyu International Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 10.9 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-08-28 | present |
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 4 - Advising on securities | 2019-08-28 | present |
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2019-08-28 | 2023-02-14 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 1 - Dealing in securities | 2019-07-15 | 2019-08-28 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 4 - Advising on securities | 2019-07-15 | 2019-08-28 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-07-15 | 2019-08-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-01-02 | 2019-03-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-12-13 | 2019-01-02 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-09-13 | 2019-03-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-09-13 | 2019-03-08 |
| Natixis Asia Limited | Rep | Type 1 - Dealing in securities | 2017-03-08 | 2017-05-19 |
| Natixis Asia Limited | Rep | Type 4 - Advising on securities | 2017-03-08 | 2017-05-19 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-11-21 | 2017-01-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiaoji 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.