Yuen Nam Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuen Nam Liu (廖遠南), a licensed Representative with CE reference AED190. Currently licensed at 2 firm(s): Topaz Financial Group Limited, Topaz Capital Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 9 - Asset management. This person has 20.3 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 1 - Dealing in securities | 2021-06-24 | present |
| Topaz Capital Management Limited 瑭明資本管理有限公司 |
Rep | Type 9 - Asset management | 2021-06-24 | present |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-26 | 2018-08-31 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-06-26 | 2018-08-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-03 | 2015-06-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-01-03 | 2015-06-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 - Advising on securities | 2013-01-03 | 2015-06-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 - Asset management | 2013-01-03 | 2015-06-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2008-03-25 | 2012-12-07 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-05 | 2012-12-07 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-03-05 | 2012-12-07 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-04-19 | 2008-02-23 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-14 | 2008-02-23 |
| Gayang Securities Limited 嘉銀證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yuen Nam 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.