LIU Wing Yin, Wendy

廖穎賢

CE ANE330Licensed IndividualResponsible OfficerSFO licence active

LIU Wing Yin, Wendy (CE number ANE330) is an individual licensed by the Hong Kong SFC. First licensed on 2006-04-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	First Global Corporate Finance Co., Limited 第一瑞興企業融資有限公司
Representative	First Securities (HK) Limited 第一證券(香港)有限公司

Licence Record (14)

2025-11-19 – present Current

First Securities (HK) Limited Rep

RA 1

2024-09-26 – present Current

First Global Corporate Finance Co., Limited RO

RA 6

2021-11-05 – 2024-08-28

Euto Capital Partners Limited RO

RA 6

2021-10-22 – 2021-11-05

Euto Capital Partners Limited Rep

RA 6

2018-04-20 – 2018-04-20

AEM Capital Limited Rep

RA 6

2018-04-20 – 2021-10-11

AEM Investment Services Limited RO

RA 1 RA 4

2018-04-19 – 2021-10-11

AEM Capital Limited RO

RA 6

2014-06-13 – 2018-04-14

Quam Capital Limited RO

RA 6

2014-04-07 – 2014-06-13

Quam Capital Limited Rep

RA 6

2012-07-25 – 2014-03-28

Emperor Corporate Finance Limited Rep

RA 1 RA 6

2011-05-11 – 2012-03-09

Guosen Securities (HK) Capital Company Limited Rep

RA 1 RA 6

2009-08-10 – 2011-03-18

Central China International Capital Limited Rep

RA 6

2008-02-26 – 2009-01-10

Daiwa Capital Markets Hong Kong Limited Rep

RA 1 RA 6

2006-04-20 – 2008-02-10

UOB Asia (Hong Kong) Limited Rep

RA 1 RA 4 RA 6

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ANE330