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. Total licence records on file: 5.
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 |