Zhao (SFC:BPL852) Liu
劉昭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhao (SFC:BPL852) Liu (劉昭), a licensed Representative with CE reference BPL852. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 7.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
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 2 — Dealing in futures contracts | 2021-04-12 | 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 | 2021-03-19 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-03-19 | present |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-28 | 2021-02-28 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-10-28 | 2021-02-28 |
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-04-16 | 2021-02-28 |
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-04-16 | 2021-02-28 |