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LIU Yewei

劉業偉
CE AZM917Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LIU Yewei (CE number AZM917) is an individual licensed by the Hong Kong SFC. First licensed on 2012-05-17. 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 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerCITIC Securities (Hong Kong) Limited
中信證券(香港)有限公司
Responsible OfficerCLSA Limited
中信里昂證券有限公司
RepresentativeCITIC Securities (Hong Kong) Limited
中信證券(香港)有限公司

Licence Record (6)

2022-09-26 – present Current
CLSA Limited RO
RA 1
2022-09-26 – present Current
CITIC Securities (Hong Kong) Limited RO
RA 6
2019-08-09 – present Current
CITIC Securities (Hong Kong) Limited Rep
RA 4 RA 6
2019-08-09 – 2022-09-26
CLSA Limited Rep
RA 1 RA 4
2015-11-10 – 2016-11-18
Moelis & Company Asia Limited Rep
RA 6
2012-05-17 – 2015-09-26
Deutsche Securities 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/AZM917