Hok Sum Sam Liu
廖學琛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hok Sum Sam Liu (廖學琛), a licensed former licensee with CE reference AMS459. This person has 9.7 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-14 | 2017-06-01 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-01-14 | 2017-06-01 |
| Funderstone Securities Limited | Rep | Type 1 - Dealing in securities | 2009-04-24 | 2012-12-31 |
| Funderstone Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2009-04-24 | 2012-12-31 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2005-12-31 | 2007-08-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Hok Sum Sam 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.