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Liu Ye

劉曄
IA8449Inactive / lapsedTechnical representative (broker)Long Term (excl. linked)
Licence no
IA8449
Type
Technical representative (broker)
Status
Inactive / lapsed
Line of business
Long Term (excl. linked)
Valid to
2022-09-22

Appointments & work history 1 · 0 active

PrincipalAppointing firmLine of businessStatusAppointedCeased
FB1392Venhouse Financial Planning Limited
鐶安財務策劃有限公司
Long Term Business (excluding Linked Long Term Business)Ended2022-09-22

Disciplinary / public actions 1

actionDate
1681228800000
actionTaken
444
actionTakenEN
1. Pecuniary penalty of HK$10,200 2. Prohibition from applying to be licensed until the shortfall in CPD hours for the combined CPD assessment periods of 2019-2021 have been rectified and the pecuniary penalty has been paid [Non-compliance of the CPD requirements for the combined CPD assessment periods of 2019-2021]
actionTakenTC
1. 罰款港幣$10,200 2. 禁止申請牌照,直至完成在2019-2021評估年度持續專業培訓計劃內尚欠的持續專業培訓時數及繳付罰款為止 [未能符合2019-2021評估年度持續專業培訓計劃要求]
actionTakenSC
1. 罚款港币$10,200 2. 禁止申请牌照,直至完成在2019-2021评估年度持续专业培训计划内尚欠的持续专业培训时数及缴付罚款为止 [未能符合2019-2021评估年度持续专业培训计划要求]
pressReleaseEN
Nil
pressReleaseTC
沒有
pressReleaseSC
没有
pressReleases
[]