Liu, Ka Hin 廖家顯
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CITIC Securities Brokerage (HK) Limited | Rep | Advising on corporate finance | 2004-03-11 | Rep | Automated trading services | 2004-03-11 | Rep | Advising on securities | 2004-04-29 | Rep | Asset management | 2004-04-29 | Rep | Dealing in securities | 2005-06-02 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2005-06-02 | |
| 3 | PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-11-23 | 2008-03-05 |
| 4 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2006-11-23 | 2008-03-05 |
| 5 | PLATINUM BROKING COMPANY LIMITED | Rep | Dealing in securities | 2005-06-02 | 2005-07-20 |
| 6 | PLATINUM SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2005-06-02 | 2005-07-20 |
| 7 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-08-18 | 2006-11-09 |
| 8 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-09-02 | 2006-11-09 |
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