Lai Sum Christina Liu
廖麗心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lai Sum Christina Liu (廖麗心), a licensed former licensee with CE reference AAH544. This person has 19.6 years of SFC licence history. Total licence records on file: 36.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ASA Securities Limited 富國證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-03-07 | 2026-01-02 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2022-03-07 | 2026-01-02 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 4 - Advising on securities | 2022-03-07 | 2026-01-02 |
| HF Securities and Futures Limited 匯福證券及期貨有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-02 | 2020-12-31 |
| HF Securities and Futures Limited 匯福證券及期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2020-11-02 | 2020-12-31 |
| Sprout Asset Management (Asia) Limited | RO | Type 1 - Dealing in securities | 2019-09-09 | 2020-08-31 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 - Advising on securities | 2019-09-09 | 2020-08-31 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2019-08-12 | 2019-09-09 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2019-08-12 | 2019-09-09 |
| Huajin Research (International) Limited 華金研究(國際)有限公司 |
RO | Type 4 - Advising on securities | 2016-04-27 | 2019-04-08 |
| Huajin Securities (International) Limited 華金證券(國際)有限公司 |
RO | Type 1 - Dealing in securities | 2015-08-17 | 2019-04-08 |
| Huajin Futures (International) Limited 華金期貨(國際)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2015-08-17 | 2019-04-08 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 9 - Asset management | 2014-04-17 | 2014-05-31 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 - Asset management | 2012-05-24 | 2014-04-17 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 1 - Dealing in securities | 2011-10-12 | 2014-05-31 |
| South China Commodities Limited 南華期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2011-10-12 | 2014-05-31 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-15 | 2011-10-12 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-07-15 | 2011-10-12 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 - Advising on securities | 2008-09-26 | 2011-07-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2008-06-02 | 2011-07-05 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2007-04-24 | 2011-07-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-11 | 2008-06-02 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-04-11 | 2007-04-24 |
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2006-05-15 | 2007-03-15 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 - Dealing in securities | 2006-03-21 | 2007-03-15 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-03-21 | 2006-05-15 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2005-07-19 | 2006-03-01 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-07-19 | 2006-03-01 |
| Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-07-19 | 2005-11-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| Sunwah Kingsway Futures Limited 新華滙富期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 |
RO | Type 2 - Dealing in futures contracts | 2004-06-05 | 2005-05-06 |
| Fuji Hong Kong Commodities Company Limited 富士香港商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-06-02 | 2004-06-05 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2003-08-13 | 2004-06-02 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2003-08-13 | 2004-06-02 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-05-14 | 2004-06-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lai Sum Christina Liu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.