Wan Yi Winnie Liu
廖韻怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wan Yi Winnie Liu (廖韻怡), CE reference BNL118. Currently licensed at 2 firm(s): CMB International Securities Limited, CMB International Futures Limited. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-09-19 | present |
| CMB International Futures Limited 招銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2023-09-19 | present |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-19 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2018-08-30 | 2020-04-18 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-08-30 | 2020-04-18 |