Kai Ming Liu
廖繼明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Ming Liu (廖繼明), a licensed former licensee with CE reference ABT714. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Win Wong Securities Limited 宏旺證券有限公司 |
RO | Type 1 — Dealing in securities | 2009-08-31 | 2018-07-09 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-08-31 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-26 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-26 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-26 |