Yan (SFC:BJO206) Liu
劉巘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:BJO206) Liu (劉巘), a licensed former licensee with CE reference BJO206. 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 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 |