Ming Liao
廖明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Liao (廖明), a licensed former licensee with CE reference ALR740. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2014-03-06 | 2014-12-11 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-05-30 | 2012-10-22 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-30 | 2012-10-22 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-08-29 | 2008-09-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-08-29 | 2008-09-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-02-03 | 2006-03-17 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2005-02-03 | 2006-03-17 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-02-03 | 2006-03-17 |