Liu, Xiaoming (SFC:AYM804) 劉小明
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 INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | Advising on securities | 2016-02-24 | 2017-09-19 |
| 2 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2011-12-12 | 2014-08-18 |
| 3 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-02-07 | 2014-08-18 |
| 4 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Advising on futures contracts | 2014-09-23 | 2015-11-20 | Rep | Advising on securities | 2014-09-23 | 2015-11-20 |
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