Sum Ching Liu
廖心澄
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sum Ching Liu (廖心澄), a licensed former licensee with CE reference ACC217. This person has 9.1 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-18 | 2012-05-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2005-01-18 | 2010-12-06 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-06-24 | 2005-01-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-01-07 |
| Deutsche Futures Hong Kong Limited 德意志期貨香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-06-24 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-01-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sum Ching 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.