Linda Lai Kuen Liu
廖麗娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Linda Lai Kuen Liu (廖麗娟), a licensed former licensee with CE reference AGJ397. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 4 — Advising on securities | 2015-06-24 | 2016-05-09 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 9 — Asset management | 2015-06-24 | 2016-05-09 |
| MEAG Hong Kong Limited | RO | Type 4 — Advising on securities | 2007-12-12 | 2015-02-11 |
| MEAG Hong Kong Limited | RO | Type 9 — Asset management | 2007-12-12 | 2015-02-11 |
| MEAG Hong Kong Limited | Rep | Type 4 — Advising on securities | 2007-11-08 | 2007-12-12 |
| MEAG Hong Kong Limited | Rep | Type 9 — Asset management | 2007-11-08 | 2007-12-12 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
RO | Type 9 — Asset management | 2007-08-07 | 2007-11-01 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2007-03-08 | 2007-08-07 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-03-15 | 2007-06-10 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-01-23 | 2007-11-01 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-09-29 | 2006-01-23 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-02-16 | 2005-09-29 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-12-29 | 2005-06-29 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-12-29 | 2005-06-29 |
| Daiwa Asset Management (H.K.) Limited 大和投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-16 | 2005-02-16 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-25 | 2004-10-24 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-24 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-27 |