Liu, Cheng Yi 劉正毅
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2020-08-31 | 2020-09-21 | Rep | Dealing in securities | 2020-08-31 | 2020-09-21 | RO | Advising on securities | 2020-09-21 | 2021-01-06 | RO | Dealing in securities | 2020-09-21 | 2021-01-06 | RO | Asset management | 2020-11-20 | 2021-01-06 |
| 2 | Fosun International Securities Limited | Rep | Advising on securities | 2015-03-19 | 2015-04-17 | Rep | Asset management | 2015-03-19 | 2015-04-17 | Rep | Dealing in securities | 2015-03-19 | 2015-04-17 | RO | Advising on securities | 2015-04-17 | 2018-02-28 | RO | Asset management | 2015-04-17 | 2018-02-28 | RO | Dealing in securities | 2015-04-17 | 2018-02-28 | RO | Advising on corporate finance | 2017-07-26 | 2018-01-26 |
| 3 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2013-04-16 | 2013-07-17 | Rep | Asset management | 2013-04-16 | 2013-07-17 | Rep | Dealing in securities | 2013-04-16 | 2013-07-17 | RO | Advising on securities | 2013-07-17 | 2015-01-22 | RO | Asset management | 2013-07-17 | 2015-01-22 | RO | Dealing in securities | 2013-07-17 | 2015-01-22 |
| 4 | JMC Capital HK Limited | RO | Advising on securities | 2018-08-16 | 2020-08-10 | RO | Asset management | 2018-08-16 | 2020-08-10 | RO | Dealing in securities | 2018-08-16 | 2020-08-10 |
| 5 | JOYFUL CAPITAL HK LIMITED | Rep | Advising on securities | 2021-05-10 | 2021-06-28 | Rep | Asset management | 2021-05-10 | 2021-06-28 | RO | Advising on securities | 2021-06-28 | 2021-11-30 | RO | Asset management | 2021-06-28 | 2021-11-30 |
| 6 | NEW ASIA FERRELL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2021-12-16 | 2022-05-06 | Rep | Asset management | 2021-12-16 | 2022-05-06 | RO | Advising on securities | 2022-05-06 | RO | Asset management | 2022-05-06 |
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