Lai Sum Christina Liu
廖麗心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Sum Christina Liu (廖麗心), a licensed former licensee with CE reference AAH544. Total licence records on file: 36.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ASA Securities Limited 富國證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-03-07 | 2026-01-02 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2022-03-07 | 2026-01-02 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 4 — Advising on securities | 2022-03-07 | 2026-01-02 |
| HF Securities and Futures Limited 匯福證券及期貨有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-02 | 2020-12-31 |
| HF Securities and Futures Limited 匯福證券及期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-11-02 | 2020-12-31 |
| Sprout Asset Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2019-09-09 | 2020-08-31 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 — Advising on securities | 2019-09-09 | 2020-08-31 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2019-08-12 | 2019-09-09 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2019-08-12 | 2019-09-09 |
| Huajin Research (International) Limited 華金研究(國際)有限公司 |
RO | Type 4 — Advising on securities | 2016-04-27 | 2019-04-08 |
| Huajin Securities (International) Limited 華金證券(國際)有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-17 | 2019-04-08 |
| Huajin Futures (International) Limited 華金期貨(國際)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-08-17 | 2019-04-08 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 9 — Asset management | 2014-04-17 | 2014-05-31 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2012-05-24 | 2014-04-17 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2011-10-12 | 2014-05-31 |
| South China Commodities Limited 南華期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-10-12 | 2014-05-31 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-15 | 2011-10-12 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-07-15 | 2011-10-12 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-26 | 2011-07-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2008-06-02 | 2011-07-05 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-04-24 | 2011-07-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-11 | 2008-06-02 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-04-11 | 2007-04-24 |
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2006-05-15 | 2007-03-15 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-21 | 2007-03-15 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-03-21 | 2006-05-15 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-19 | 2006-03-01 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-07-19 | 2006-03-01 |
| Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-07-19 | 2005-11-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-06-05 | 2005-05-06 |
| Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-02 | 2004-06-05 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-08-13 | 2004-06-02 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2003-08-13 | 2004-06-02 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-05-14 | 2004-06-02 |