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LIU Hanhua

劉漢華
CE AUW243Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LIU Hanhua (CE number AUW243) is an individual licensed by the Hong Kong SFC. First licensed on 2010-03-16. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGuolian Securities International Asset Management Co., Limited
國聯證券國際資產管理有限公司

Licence Record (7)

2020-12-15 – present Current
Guolian Securities International Asset Management Co., Limited RO
RA 9
2020-12-15 – 2024-07-02
Guolian Securities International Capital Co., Limited RO
RA 1 RA 4
2017-10-03 – 2019-05-15
CITIC CLSA Capital Partners HK Limited Rep
RA 4 RA 6
2015-04-23 – 2019-05-15
CLSA Limited Rep
RA 1
2015-04-23 – 2017-09-30
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2011-03-29 – 2016-01-13
CITIC Securities Corporate Finance (HK) Limited Rep
RA 1 RA 4 RA 6
2010-03-16 – 2011-03-27
Oppenheimer Investments Asia Limited Rep
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/AUW243