Liu, Joseph (SFC:AXD120)
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.
Some data are hidden to fit your display. Rotate?
| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-04-23 | 2019-09-05 | Rep | Advising on securities | 2015-04-23 | 2019-09-05 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2015-04-23 | 2019-09-05 |
| 3 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2011-04-11 | 2016-01-01 | Rep | Advising on securities | 2011-04-11 | 2016-01-01 | Rep | Dealing in securities | 2011-04-11 | 2016-01-01 |
| 4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2019-12-19 | 2021-08-26 | Rep | Advising on securities | 2019-12-19 | 2021-08-26 | Rep | Dealing in securities | 2019-12-19 | 2021-08-26 |
| 5 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2021-09-10 | Rep | Advising on securities | 2021-09-10 | Rep | Dealing in securities | 2021-09-10 |
| 6 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2021-09-10 | RO | Advising on securities | 2022-06-21 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy