SFC Licences of LIU Yuen Shan 廖婉珊

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

Institution Role Licences Start date End date
Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 RO 4 03 August 2020 17 April 2024
Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 RO 9 14 August 2019 17 April 2024
Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 RO 1 14 August 2019 31 August 2022
RO 9 01 August 2018 04 June 2019
RE 9 20 June 2018 01 August 2018
HK Monkey Securities Limited 金猴證券有限公司 RO 9 10 November 2017 18 May 2018
HK Monkey Securities Limited 金猴證券有限公司 RO 1 10 November 2017 18 May 2018
Formax Securities Limited 福億證券有限公司 RE 1 10 December 2014 28 May 2015
Formax Asset Management Limited 福億資產管理有限公司 RE 9 10 December 2014 28 May 2015
Lion Global Financial Limited 獅瀚環球金融有限公司 RO 1 18 September 2012 11 April 2014
Lion Global Financial Limited 獅瀚環球金融有限公司 RE 1 26 March 2009 18 September 2012
Lion Global Financial Limited 獅瀚環球金融有限公司 RE 9 13 December 2005 11 April 2014
Lion Global Financial Limited 獅瀚環球金融有限公司 RE 4 13 December 2005 04 January 2012
Pacific World Asset Management Limited 盛世資產管理有限公司 RE 4 01 April 2003 01 December 2005
Pacific World Asset Management Limited 盛世資產管理有限公司 RE 9 01 April 2003 01 December 2005
Pacific World Asset Management Limited 盛世資產管理有限公司 RE 6 01 April 2003 11 February 2004