Sum Ching Liu
廖心澄
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sum Ching Liu (廖心澄), a licensed former licensee with CE reference ACC217. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-18 | 2012-05-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-01-18 | 2010-12-06 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-24 | 2005-01-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-01-07 |
| Deutsche Futures Hong Kong Limited 德意志期貨香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-06-24 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-08 |