Siu Ha Liu
廖少霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ha Liu (廖少霞), a licensed former licensee with CE reference AEJ989. This person has 16.1 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-08 | 2019-11-28 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-05-08 | 2013-12-30 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-15 | 2009-04-23 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-15 | 2009-04-23 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-01-15 | 2009-04-23 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-09-23 | 2009-01-09 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-09-23 | 2009-01-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Ha 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.