Wendy Wing Yin Liu
廖穎賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wendy Wing Yin Liu (廖穎賢), a licensed Responsible Officer with CE reference ANE330. Currently licensed at 2 firm(s): First Securities (HK) Limited, First Global Corporate Finance Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2025-11-19 | present |
| First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-09-26 | present |
| Euto Capital Partners Limited 裕韜資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-11-05 | 2024-08-28 |
| Euto Capital Partners Limited 裕韜資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-10-22 | 2021-11-05 |
| AEM Capital Limited 明德企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-04-20 | 2018-04-20 |
| AEM Investment Services Limited 明德企業投資有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-20 | 2021-10-11 |
| AEM Investment Services Limited 明德企業投資有限公司 |
RO | Type 4 — Advising on securities | 2018-04-20 | 2021-10-11 |
| AEM Capital Limited 明德企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-04-19 | 2021-10-11 |
| Quam Capital Limited 華富建業企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-06-13 | 2018-04-14 |
| Quam Capital Limited 華富建業企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-04-07 | 2014-06-13 |
| Emperor Corporate Finance Limited 英皇企業融資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-25 | 2014-03-28 |
| Emperor Corporate Finance Limited 英皇企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-07-25 | 2014-03-28 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-11 | 2012-03-09 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-11 | 2012-03-09 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-08-10 | 2011-03-18 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-26 | 2009-01-10 |
| 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 | 2008-02-26 | 2009-01-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-20 | 2008-02-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-20 | 2008-02-10 |
| UOB Asia (Hong Kong) Limited 新加坡大華亞洲(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-04-20 | 2008-02-10 |