SFC Licences of LIU Chao-ming 劉昭明
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 2 | 14 June 2013 | 30 December 2013 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 14 June 2013 | 30 December 2013 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 14 June 2013 | 31 August 2013 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 14 June 2013 | 31 August 2013 |
| Morgan Stanley Hong Kong Securities Limited | RE | 2 | 12 September 2011 | 14 May 2012 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 12 September 2011 | 14 May 2012 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 19 January 2006 | 01 January 2007 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 19 January 2006 | 01 January 2007 |