Kai Ming Liu
廖繼明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Ming Liu (廖繼明), a licensed former licensee with CE reference ABT714. This person has 15.3 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Win Wong Securities Limited 宏旺證券有限公司 |
RO | Type 1 - Dealing in securities | 2009-08-31 | 2018-07-09 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-08-31 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-26 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-26 |
| Win Wong Securities Limited 宏旺證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Ming 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.