SFC Licences of LIU Yan 劉妍
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 16 May 2017 | 31 August 2018 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 1 | 16 May 2017 | 31 August 2018 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 07 October 2014 | 20 April 2017 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 | RE | 4 | 23 September 2013 | 01 September 2014 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 | RE | 1 | 19 June 2012 | 01 September 2014 |