SFC Licences of LIU James Shu-Wing 廖樹榮

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

Institution	Role	Licences	Start date	End date
China Industrial Securities International Brokerage Limited 興證國際證券有限公司	RO	4	04 February 2016	07 May 2021
China Industrial Securities International Brokerage Limited 興證國際證券有限公司	RO	1	04 February 2016	07 May 2021
China Industrial Securities International Brokerage Limited 興證國際證券有限公司	RE	4	30 June 2015	04 February 2016
China Industrial Securities International Brokerage Limited 興證國際證券有限公司	RE	1	30 June 2015	04 February 2016
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司	RE	1	08 January 2014	09 April 2015
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司	RE	4	08 January 2014	09 April 2015
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司	RE	1	08 January 2014	09 April 2015
Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司	RO	4	28 September 2012	12 December 2013
Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司	RO	1	28 September 2012	12 December 2013
Midland Wealth Management Limited 美聯資產管理有限公司	RO	4	08 September 2011	08 August 2012
Midland Wealth Management Limited 美聯資產管理有限公司	RO	1	08 September 2011	08 August 2012
Midland Wealth Management Limited 美聯資產管理有限公司	RE	1	14 March 2008	08 September 2011
Midland Wealth Management Limited 美聯資產管理有限公司	RE	4	05 March 2008	08 September 2011
Cypress International Investment Advisors Limited 栢鴻國際投資顧問有限公司	RE	4	03 April 2007	31 October 2007