Siu Kam Liu
廖小琴
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Kam Liu (廖小琴), a licensed former licensee with CE reference AFS407. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2005-05-03 | 2009-06-11 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 9 — Asset management | 2005-05-03 | 2009-06-11 |
| CBH Asia Limited 瑞金亞洲有限公司 |
RO | Type 4 — Advising on securities | 2004-09-17 | 2005-05-03 |
| CBH Asia Limited 瑞金亞洲有限公司 |
RO | Type 9 — Asset management | 2004-09-17 | 2005-05-03 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-17 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-07 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-17 |