Kit Ling Liu
廖潔靈
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kit Ling Liu (廖潔靈), a licensed Responsible Officer with CE reference AUI936. Currently licensed at 1 firm(s): Orient Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-31 | present |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-13 | present |
| Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-12-20 | 2023-02-08 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-13 | 2019-01-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-20 | 2015-10-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2014-08-20 | 2015-10-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-19 | 2014-07-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-09-19 | 2014-07-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-17 | 2014-07-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-12-17 | 2014-07-01 |