SFC Licences of LIU Lai Sum Christina 廖麗心

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
ASA Securities Limited 富國證券有限公司 RO 4 07 March 2022
ASA Securities Limited 富國證券有限公司 RO 2 07 March 2022
ASA Securities Limited 富國證券有限公司 RO 1 07 March 2022
HF Securities and Futures Limited 匯福證券及期貨有限公司 RO 2 02 November 2020 31 December 2020
HF Securities and Futures Limited 匯福證券及期貨有限公司 RO 1 02 November 2020 31 December 2020
Sprout Asset Management (Asia) Limited RO 4 09 September 2019 31 August 2020
Sprout Asset Management (Asia) Limited RO 1 09 September 2019 31 August 2020
Sprout Asset Management (Asia) Limited RE 4 12 August 2019 09 September 2019
Sprout Asset Management (Asia) Limited RE 1 12 August 2019 09 September 2019
Huajin Research (International) Limited 華金研究(國際)有限公司 RO 4 27 April 2016 08 April 2019
Huajin Futures (International) Limited 華金期貨(國際)有限公司 RO 2 17 August 2015 08 April 2019
Huajin Securities (International) Limited 華金證券(國際)有限公司 RO 1 17 August 2015 08 April 2019
RO 9 17 April 2014 31 May 2014
RE 9 24 May 2012 17 April 2014
South China Commodities Limited 南華期貨有限公司 RO 2 12 October 2011 31 May 2014
South China Securities Limited 南華證券投資有限公司 RO 1 12 October 2011 31 May 2014
South China Commodities Limited 南華期貨有限公司 RE 2 15 July 2011 12 October 2011
South China Securities Limited 南華證券投資有限公司 RE 1 15 July 2011 12 October 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 4 26 September 2008 05 July 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RO 1 02 June 2008 05 July 2011
RHB Futures Hong Kong Limited 興業金融期貨有限公司 RO 2 24 April 2007 05 July 2011
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 1 11 April 2007 02 June 2008
RHB Futures Hong Kong Limited 興業金融期貨有限公司 RE 2 11 April 2007 24 April 2007
Enlighten Futures Limited 名匯期貨有限公司 RO 2 15 May 2006 15 March 2007
Enlighten Securities Limited 名匯證券有限公司 RE 1 21 March 2006 15 March 2007
Enlighten Futures Limited 名匯期貨有限公司 RE 2 21 March 2006 15 May 2006
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RO 2 19 July 2005 01 March 2006
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RE 1 19 July 2005 01 March 2006
Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 RO 2 19 July 2005 30 November 2005
Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 RE 2 10 May 2005 19 July 2005
Kingsway Financial Services Group Limited 滙富金融服務有限公司 RE 2 10 May 2005 19 July 2005
Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 RO 2 05 June 2004 06 May 2005
Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 RE 2 02 June 2004 05 June 2004
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RO 5 13 August 2003 02 June 2004
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RO 2 13 August 2003 02 June 2004
Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 RE 1 14 May 2003 02 June 2004