SFC Licences of LIU Xiaoming 劉小明
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 | RE | 4 | 24 February 2016 | 19 September 2017 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 | RE | 5 | 23 September 2014 | 20 November 2015 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 | RE | 4 | 23 September 2014 | 20 November 2015 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 07 February 2012 | 18 August 2014 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 12 December 2011 | 18 August 2014 |