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LIU Jie

劉杰
CE AQU060Licensed IndividualExecutive OfficerNo active licence
Official SFC record

LIU Jie (CE number AQU060) is an individual licensed by the Hong Kong SFC. First licensed on 2008-04-02. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerBank of America, National Association

Licence Record (3)

2014-04-28 – 2020-08-31
Merrill Lynch Far East Limited Rep
RA 2
2012-08-10 – 2020-08-31
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 7
2008-04-02 – 2009-06-22
Morgan Stanley Asia Limited Rep
RA 1

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/AQU060