Liu, Yan (SFC:AZS032) 劉妍
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Dealing in securities | 2012-06-19 | 2014-09-01 | Rep | Advising on securities | 2013-09-23 | 2014-09-01 |
| 2 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2017-05-16 | 2018-08-31 | Rep | Dealing in securities | 2017-05-16 | 2018-08-31 |
| 3 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2014-10-07 | 2017-04-20 |
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