Yien-Li Niu
牛延莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yien-Li Niu (牛延莉), a licensed former licensee with CE reference AQA565. This person has 6.9 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2013-07-16 | 2015-07-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-05-13 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-05-13 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-05-13 | 2011-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-11-03 | 2011-03-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2008-11-03 | 2011-03-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-23 | 2008-08-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2007-11-23 | 2008-08-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yien-Li Niu 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.