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LIU Haiyan

刘海燕
CE BXC023Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LIU Haiyan (CE number BXC023) is an individual licensed by the Hong Kong SFC. First licensed on 2026-05-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 4 firms.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (4)

CapacityCompany / Institution
Responsible OfficerChina Merchants Futures (HK) Co., Limited
招商期貨(香港)有限公司
Responsible OfficerChina Merchants Securities (HK) Co., Limited
招商證券(香港)有限公司
Responsible OfficerCMS Asset Management (HK) Co., Limited
招商證券資產管理(香港)有限公司
Responsible OfficerCMS Capital (HK) Co., Limited
招商資本(香港)有限公司

Licence Record (4)

2026-05-12 – present Current
China Merchants Securities (HK) Co., Limited RO
RA 1 RA 2 RA 4 RA 6 RA 9
2026-05-12 – present Current
China Merchants Futures (HK) Co., Limited RO
RA 2 RA 5
2026-05-12 – present Current
CMS Asset Management (HK) Co., Limited RO
RA 4 RA 9
2026-05-12 – present Current
CMS Capital (HK) Co., Limited RO
RA 4 RA 9

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/BXC023