SFC Licences of LIU Joseph

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RO	4	21 June 2022
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	6	10 September 2021
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	4	10 September 2021
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	1	10 September 2021
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司	RE	1	10 September 2021
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	6	19 December 2019	26 August 2021
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	4	19 December 2019	26 August 2021
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司	RE	1	19 December 2019	26 August 2021
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	6	23 April 2015	05 September 2019
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	4	23 April 2015	05 September 2019
CLSA Limited 中信里昂證券有限公司	RE	1	23 April 2015	05 September 2019
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司	RE	6	11 April 2011	01 January 2016
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司	RE	1	11 April 2011	01 January 2016
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司	RE	4	11 April 2011	01 January 2016