James Yan Chee Liu
劉恩賜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Yan Chee Liu (劉恩賜), a licensed former licensee with CE reference ACI719. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-22 | 2015-10-31 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-09-22 | 2015-10-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-27 | 2010-09-13 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-10-27 | 2010-09-13 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-19 | 2004-10-19 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-05-19 | 2004-10-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-09 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-03-09 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-19 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-07 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-19 |