Liu, Chris Yang
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2012-06-18 | 2014-07-04 | Rep | Dealing in securities | 2012-06-18 | 2014-07-04 |
| 2 | CPPIB Asia Inc. | Rep | Dealing in securities | 2019-05-10 | 2022-03-21 |
| 3 | CPPIB Credit Investments Asia Limited | Rep | Dealing in securities | 2022-03-21 | |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2010-06-01 | 2012-03-15 | Rep | Advising on securities | 2010-06-01 | 2012-03-15 | Rep | Dealing in securities | 2010-06-01 | 2012-03-15 |
| 5 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2010-06-01 | 2012-03-15 | Rep | Advising on securities | 2010-06-01 | 2012-03-15 | Rep | Dealing in securities | 2010-06-01 | 2012-03-15 |
| 6 | MOELIS & COMPANY ASIA LIMITED | Rep | Advising on corporate finance | 2014-12-22 | 2017-07-28 |
| 7 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2014-09-04 | 2014-10-28 |
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