SFC Licences of LIU Hiu Lau 廖曉柳

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

Institution	Role	Licences	Start date	End date
UBS Securities Hong Kong Limited	RO	6	22 December 2023
UBS Securities Hong Kong Limited	RE	6	13 November 2023	22 December 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RO	6	11 August 2022	05 November 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	4	27 April 2022	05 November 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	27 April 2022	05 November 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	6	27 April 2022	11 August 2022
CLSA Limited 中信里昂證券有限公司	RE	1	29 December 2021	06 March 2022
CLSA Limited 中信里昂證券有限公司	RO	1	02 June 2021	29 December 2021
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RO	6	23 October 2018	06 March 2022
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	4	23 July 2018	06 March 2022
CLSA Limited 中信里昂證券有限公司	RE	4	23 July 2018	28 July 2021
CLSA Limited 中信里昂證券有限公司	RE	1	23 July 2018	02 June 2021
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	6	23 July 2018	23 October 2018
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司	RO	6	20 June 2017	15 June 2018
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司	RE	6	09 April 2014	20 June 2017
Deutsche Securities Asia Limited 德意志證券亞洲有限公司	RE	6	29 March 2012	12 October 2013
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	6	15 June 2006	31 July 2007
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	4	15 June 2006	31 July 2007
CLSA Limited 中信里昂證券有限公司	RE	1	15 June 2006	31 July 2007
DBS Asia Capital Limited 星展亞洲融資有限公司	RE	6	29 January 2004	20 May 2006
DBS Asia Capital Limited 星展亞洲融資有限公司	RE	4	29 January 2004	20 May 2006
DBS Asia Capital Limited 星展亞洲融資有限公司	RE	1	29 January 2004	20 May 2006
DBS Asia Capital Limited 星展亞洲融資有限公司	RE	9	29 January 2004	28 January 2005
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	9	01 April 2003	01 January 2004
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	6	01 April 2003	01 January 2004
Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司	RE	4	01 April 2003	01 January 2004