Wallace Kai Yip Liu
廖啟業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wallace Kai Yip Liu (廖啟業), a licensed former licensee with CE reference ARA317. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-02-19 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2013-02-19 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-27 | 2014-09-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-07-27 | 2014-09-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-27 | 2012-04-28 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-07-27 | 2012-04-28 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-07-27 | 2012-04-28 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-07-27 | 2012-04-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-08-18 | 2009-01-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-08-18 | 2009-01-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-08-18 | 2009-01-23 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-16 | 2008-07-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-05-16 | 2008-07-08 |