SFC Licences of LIU Zhongwen 劉中文
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 4 | 15 August 2023 | 12 December 2023 |
| UBS Securities Asia Limited | RE | 4 | 31 January 2023 | 03 February 2023 |
| CCB International Capital Limited 建銀國際金融有限公司 | RE | 6 | 18 December 2017 | 20 July 2018 |
| CCB International Capital Limited 建銀國際金融有限公司 | RE | 4 | 18 December 2017 | 20 July 2018 |
| CCB International Capital Limited 建銀國際金融有限公司 | RE | 1 | 18 December 2017 | 20 July 2018 |
| Haitong International Research Limited 海通國際研究有限公司 | RE | 4 | 03 October 2016 | 16 November 2017 |