Liu, Wendy Wing Yin 廖穎賢
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 | AEM CAPITAL LIMITED | RO | Advising on corporate finance | 2018-04-19 | 2021-10-11 | Rep | Advising on corporate finance | 2018-04-20 | 2018-04-20 |
| 2 | AEM INVESTMENT SERVICES LIMITED | RO | Advising on securities | 2018-04-20 | 2021-10-11 | RO | Dealing in securities | 2018-04-20 | 2021-10-11 |
| 3 | CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2009-08-10 | 2011-03-18 |
| 4 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on corporate finance | 2008-02-26 | 2009-01-10 | Rep | Dealing in securities | 2008-02-26 | 2009-01-10 |
| 5 | EMPEROR CORPORATE FINANCE LIMITED | Rep | Advising on corporate finance | 2012-07-25 | 2014-03-28 | Rep | Dealing in securities | 2012-07-25 | 2014-03-28 |
| 6 | EUTO CAPITAL PARTNERS LIMITED | Rep | Advising on corporate finance | 2021-10-22 | 2021-11-05 | RO | Advising on corporate finance | 2021-11-05 |
| 7 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2011-05-11 | 2012-03-09 | Rep | Dealing in securities | 2011-05-11 | 2012-03-09 |
| 8 | Quam Capital Limited (b1994-08-04) | Rep | Advising on corporate finance | 2014-04-07 | 2014-06-13 | RO | Advising on corporate finance | 2014-06-13 | 2018-04-14 |
| 9 | UOB ASIA (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2006-04-20 | 2008-02-10 | Rep | Advising on securities | 2006-04-20 | 2008-02-10 | Rep | Dealing in securities | 2006-04-20 | 2008-02-10 |
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