James Shu-Wing Liu
廖樹榮
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Shu-Wing Liu (廖樹榮), a licensed former licensee with CE reference AME215. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-02-04 | 2021-05-07 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
RO | Type 4 — Advising on securities | 2016-02-04 | 2021-05-07 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-30 | 2016-02-04 |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-30 | 2016-02-04 |
| 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 | 2014-01-08 | 2015-04-09 |
| 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 | 2014-01-08 | 2015-04-09 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-01-08 | 2015-04-09 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-28 | 2013-12-12 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 4 — Advising on securities | 2012-09-28 | 2013-12-12 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-08 | 2012-08-08 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 4 — Advising on securities | 2011-09-08 | 2012-08-08 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-14 | 2011-09-08 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-05 | 2011-09-08 |
| Cypress International Investment Advisors Limited 栢鴻國際投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-03 | 2007-10-31 |