Liu, Hiu Lau 廖曉柳
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2014-04-09 | 2017-06-20 | RO | Advising on corporate finance | 2017-06-20 | 2018-06-15 |
| 2 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2006-06-15 | 2007-07-31 | Rep | Advising on securities | 2006-06-15 | 2007-07-31 | Rep | Advising on corporate finance | 2018-07-23 | 2018-10-23 | Rep | Advising on securities | 2018-07-23 | 2022-03-06 | RO | Advising on corporate finance | 2018-10-23 | 2022-03-06 |
| 3 | CLSA LIMITED | Rep | Dealing in securities | 2006-06-15 | 2007-07-31 | Rep | Dealing in securities | 2018-07-23 | 2021-06-02 | Rep | Advising on securities | 2018-07-23 | 2021-07-28 | RO | Dealing in securities | 2021-06-02 | 2021-12-29 | Rep | Dealing in securities | 2021-12-29 | 2022-03-06 |
| 4 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2022-04-27 | 2022-08-11 | Rep | Advising on securities | 2022-04-27 | 2023-11-05 | Rep | Dealing in securities | 2022-04-27 | 2023-11-05 | RO | Advising on corporate finance | 2022-08-11 | 2023-11-05 |
| 5 | DBS ASIA CAPITAL LIMITED | Rep | Asset management | 2004-01-29 | 2005-01-28 | Rep | Advising on corporate finance | 2004-01-29 | 2006-05-20 | Rep | Advising on securities | 2004-01-29 | 2006-05-20 | Rep | Dealing in securities | 2004-01-29 | 2006-05-20 |
| 6 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2012-03-29 | 2013-10-12 |
| 7 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-01-01 | Rep | Advising on securities | 2004-01-01 | Rep | Asset management | 2004-01-01 |
| 8 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2023-11-13 | 2023-12-22 | RO | Advising on corporate finance | 2023-12-22 | 2024-10-10 |
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