Xiaoji Liu
劉小吉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoji Liu (劉小吉), a licensed Responsible Officer with CE reference BEN198. Currently licensed at 1 firm(s): Chiyu International Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2019-08-28 | present |
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 4 — Advising on securities | 2019-08-28 | present |
| Chiyu International Capital Limited 集友國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-08-28 | 2023-02-14 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-15 | 2019-08-28 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-15 | 2019-08-28 |
| Chiyu International Capital Limited 集友國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-07-15 | 2019-08-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-01-02 | 2019-03-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-12-13 | 2019-01-02 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-09-13 | 2019-03-08 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-09-13 | 2019-03-08 |
| Natixis Asia Limited | Rep | Type 1 — Dealing in securities | 2017-03-08 | 2017-05-19 |
| Natixis Asia Limited | Rep | Type 4 — Advising on securities | 2017-03-08 | 2017-05-19 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-21 | 2017-01-01 |