Yien-Li Niu
牛延莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yien-Li Niu (牛延莉), a licensed former licensee with CE reference AQA565. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-16 | 2015-07-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-05-13 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-05-13 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-05-13 | 2013-03-15 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2011-05-13 | 2011-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-03 | 2011-03-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-11-03 | 2011-03-21 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-23 | 2008-08-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-11-23 | 2008-08-18 |