Wallace Kai Yip Liu
廖啟業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wallace Kai Yip Liu (廖啟業), a licensed former licensee with CE reference ARA317. This person has 4.5 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-02-19 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2013-02-19 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-27 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-07-27 | 2014-09-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-27 | 2012-04-28 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-07-27 | 2012-04-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-07-27 | 2012-04-28 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-07-27 | 2012-04-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-08-18 | 2009-01-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-08-18 | 2009-01-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-08-18 | 2009-01-23 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-16 | 2008-07-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-05-16 | 2008-07-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wallace Kai Yip 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.