Xiaohong Liu
劉曉紅
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaohong Liu (劉曉紅), a licensed former licensee with CE reference AGC636. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2022-12-05 | 2023-10-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-12-05 | 2023-10-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2022-10-07 | 2022-12-05 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-10-07 | 2022-12-05 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-08-19 | 2022-06-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2021-07-07 | 2022-06-17 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-07-07 | 2021-08-19 |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2019-12-11 | 2021-05-25 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-01 | 2020-03-27 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-09-30 | 2021-05-25 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-03-09 | 2016-09-29 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-29 | 2016-09-29 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-05-29 | 2007-03-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | present | 2003-11-26 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-11-26 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 9 — Asset management | present | 2003-11-26 |