Kam Yin Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kam Yin Liu (廖錦賢), a licensed Responsible Officer with CE reference AHC010. Currently licensed at 1 firm(s): DBS Asia Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 23.3 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | 2017-01-24 | present |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | 2017-01-24 | present |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-01-24 | present |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-28 | 2017-01-24 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-28 | 2017-01-24 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-11-28 | 2017-01-24 |
| Kingsway Capital Limited 滙富融資有限公司 |
RO | Type 1 - Dealing in securities | 2015-04-14 | 2016-10-28 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2015-04-14 | 2016-10-28 |
| Kingsway Capital Limited 滙富融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-04-14 | 2016-10-28 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-04-14 | 2011-06-30 |
| Kingsway SBF Investment Management Company Limited | Rep | Type 9 - Asset management | 2007-01-29 | 2011-06-20 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2006-01-18 | 2015-04-14 |
| Kingsway Capital Limited 滙富融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-09-29 | 2008-04-14 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-09-29 | 2008-04-14 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-24 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-25 |
| Central China International Capital Limited 中州國際融資有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kam Yin 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.