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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4 23 July 2018 06 March 2022
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司
RE 1, 4, 6 27 April 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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RO 6 23 October 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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 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 1, 4, 6 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 4, 6, 9 01 April 2003 01 January 2004