SFC Licences of LIU Yan 劉岩
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 | RE | 1 | 13 September 2021 | |
| Avalok Capital Limited 宏觀資本有限公司 | RE | 1 | 18 September 2020 | 30 April 2021 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 | RE | 1 | 13 June 2018 | 29 May 2020 |
| Avalok Capital Limited 宏觀資本有限公司 | RE | 1 | 04 January 2017 | 14 May 2018 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 | RE | 1 | 20 June 2008 | 07 October 2016 |