Ye (SFC:BOM872) Liu
劉叶
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ye (SFC:BOM872) Liu (劉叶), a licensed Representative with CE reference BOM872. Currently licensed at 1 firm(s): Nomura International (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-09-22 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-09-22 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-03-06 | 2025-09-05 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2025-03-06 | 2025-09-05 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-15 | 2024-10-18 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-10-15 | 2024-10-18 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-05-21 | 2021-09-19 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 4 — Advising on securities | 2021-05-21 | 2021-09-19 |
| COFCO Asset Management (International) Company Limited 中糧資產管理(國際)有限公司 |
Rep | Type 9 — Asset management | 2021-05-21 | 2021-09-19 |
| GF International Investment Management Limited 廣發國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2019-06-25 | 2021-03-19 |