SFC Licences of LIU Yan 劉研
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 29 January 2024 | |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 21 September 2020 | 19 July 2021 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 21 September 2020 | |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 03 May 2010 | |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 6 | 15 July 2008 | 15 March 2010 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 4 | 15 July 2008 | 15 March 2010 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 15 July 2008 | 15 March 2010 |