Nelson Kwong Kin Liu
廖廣健
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nelson Kwong Kin Liu (廖廣健), a licensed former licensee with CE reference ABM667. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2024-03-31 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 - Dealing in securities | 2017-04-05 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2017-10-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2017-10-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2024-03-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2004-06-02 |