SFC Licences of LIEW Wing Lok, Stephen 廖永樂
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CSC Securities (HK) Limited 群益證券(香港)有限公司 | RE | 1 | 21 October 2019 | |
CSC Futures (HK) Limited 群益期貨(香港)有限公司 | RE | 2 | 21 August 2019 | |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 03 October 2017 | 08 August 2019 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | 08 August 2019 |
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 | RE | 2 | 07 September 2016 | 08 August 2019 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 03 August 2016 | 02 October 2017 |
KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 August 2016 | 02 October 2017 |
CAIIS Limited | RE | 4 | 23 May 2008 | 31 January 2011 |
CAIIS Limited | RE | 1 | 23 May 2008 | 31 January 2011 |
Wintech Securities Limited 盈泰證券有限公司 | RE | 1 | 01 April 2003 | 22 March 2004 |
Wintech Securities Limited 盈泰證券有限公司 | RE | 6 | 01 April 2003 | 18 February 2004 |
Wintech Securities Limited 盈泰證券有限公司 | RE | 4 | 01 April 2003 | 18 February 2004 |
Wintech Securities Limited 盈泰證券有限公司 | RE | 9 | 01 April 2003 | 18 February 2004 |