SFC Licences of LIU Siu Ha 廖少霞
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 08 May 2009 | 28 November 2019 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 08 May 2009 | 30 December 2013 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 | RE | 2 | 15 January 2009 | 23 April 2009 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 | RE | 1 | 15 January 2009 | 23 April 2009 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 | RE | 1 | 15 January 2009 | 23 April 2009 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 23 September 2003 | 09 January 2009 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 23 September 2003 | 09 January 2009 |