SFC licenceholder AEG935 LIU Kwok Wah, Kenneth 廖國華

Licences

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

Updated: 05 April 2020

Institution Role Licences Start date End date
Cinda International Futures Limited 信達國際期貨有限公司 RE [2] (Dealing in Futures Contracts) 08 May 2018
Cinda International Securities Limited 信達國際證券有限公司 RE [1] (Dealing in Securities) 08 May 2018
Rifa Securities Limited 日發證券有限公司 RE [1] (Dealing in Securities) 02 May 2017 05 March 2018
Rifa Futures Limited 日發期貨有限公司 RE [2] (Dealing in Futures Contracts) 02 May 2017 05 March 2018
Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 14 February 2017 11 April 2017
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RE [1] (Dealing in Securities) 12 July 2007 22 December 2007
Merrill Lynch Far East Limited RE [1] (Dealing in Securities) 26 January 2007 08 March 2007
Merrill Lynch Futures (Hong Kong) Limited RE [2] (Dealing in Futures Contracts) 06 July 2005 08 March 2007
Merrill Lynch (Asia Pacific) Limited RE [1] (Dealing in Securities) 01 June 2005 08 March 2007
SG Securities (HK) Limited 法國興業證券(香港)有限公司 RE [1] (Dealing in Securities) 01 April 2003 18 May 2005
SG Securities (HK) Limited 法國興業證券(香港)有限公司 RE [6] (Advising on Corporate Finance), [7] (Providing Automated Trading Services) 01 April 2003 01 September 2004
SG Securities (HK) Limited 法國興業證券(香港)有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 01 April 2003 16 December 2003