Ricky Wai Kin Liu
廖偉健
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Wai Kin Liu (廖偉健), a licensed former licensee with CE reference BJD903. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2025-11-25 | 2025-11-28 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2025-11-25 | 2025-11-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2025-11-25 | 2025-11-28 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2025-11-25 | 2025-11-28 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-05-24 | 2019-06-06 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-05-24 | 2019-06-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-09-27 | 2018-10-05 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-09-27 | 2018-10-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-01-12 | 2018-01-19 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-01-12 | 2018-01-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2017-03-13 | 2017-03-31 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2017-03-13 | 2017-03-31 |