King Wai Liu
劉勁威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for King Wai Liu (劉勁威), a licensed former licensee with CE reference AAD898. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Success Securities Limited 實德證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-09-15 | 2023-05-08 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-12 | 2022-07-29 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-10-12 | 2022-07-29 |
| Stockwell Securities Limited 常匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-09 | 2017-09-29 |
| Stockwell Commodities Limited 常匯商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-09-09 | 2017-09-29 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-02-03 | 2010-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-29 | 2010-05-12 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-05-12 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2010-05-12 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-11-18 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-11-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-18 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-11-18 |