SFC Licences of LIU Yan 劉巘
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 | 12 June 2018 | 26 July 2019 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 2 | 02 March 2018 | 26 July 2019 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 1 | 02 March 2018 | 26 July 2019 |
| NFH Corporate Finance Limited 新金控融資有限公司 | RE | 6 | 17 May 2017 | 06 September 2017 |
| NFH Securities and Futures Limited 新金控證券期貨有限公司 | RE | 1 | 17 May 2017 | 06 September 2017 |