Hiu Lau Liu
廖曉柳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hiu Lau Liu (廖曉柳), a licensed former licensee with CE reference AGP529. Total licence records on file: 26.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2023-12-22 | 2024-10-10 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2023-11-13 | 2023-12-22 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-08-11 | 2023-11-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-04-27 | 2023-11-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-04-27 | 2023-11-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-04-27 | 2022-08-11 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-29 | 2022-03-06 |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-06-02 | 2021-12-29 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-10-23 | 2022-03-06 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-07-23 | 2021-06-02 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-07-23 | 2022-03-06 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-07-23 | 2021-07-28 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-07-23 | 2018-10-23 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-06-20 | 2018-06-15 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-04-09 | 2017-06-20 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-03-29 | 2013-10-12 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-15 | 2007-07-31 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-06-15 | 2007-07-31 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-06-15 | 2007-07-31 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-29 | 2006-05-20 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 — Advising on securities | 2004-01-29 | 2006-05-20 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-01-29 | 2006-05-20 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 9 — Asset management | 2004-01-29 | 2005-01-28 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-01 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-01 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-01 |