Yan Liu
劉巘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Liu (劉巘), a licensed former licensee with CE reference BJO206. This person has 1.7 years of SFC licence history. Total licence records on file: 5.
Information
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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 4 - Advising on securities | 2018-06-12 | 2019-07-26 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-02 | 2019-07-26 |
| 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 | 2018-03-02 | 2019-07-26 |
| NFH Securities and Futures Limited 新金控證券期貨有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-17 | 2017-09-06 |
| NFH Corporate Finance Limited 新金控融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-05-17 | 2017-09-06 |
Worked alongside
The 6 closest colleagues, strongest tie first — individuals licensed at the same firm as Yan 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.