Liu, Christina Lai Sum 廖麗心

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SFC roles

Organisation Position From Until
1 313 Capital Management Limited RepRepresentative 2012-05-24 2014-04-17
2 ENLIGHTEN FUTURES LIMITED RepRepresentative 2006-03-21 2006-05-15
3 ENLIGHTEN SECURITIES LIMITED RepRepresentative 2006-03-21 2007-03-15
4 FUJI HONG KONG COMMODITIES COMPANY LIMITED RepRepresentative 2004-06-02 2004-06-05
5 KINGSWAY FINANCIAL SERVICES GROUP LIMITED RepRepresentative 2005-05-10 2005-07-19
6 Polaris Capital (Asia) Limited RepRepresentative 2003-05-14 2004-06-02
7 RHB FUTURES HONG KONG LIMITED RepRepresentative 2007-04-11 2007-04-24
8 RHB SECURITIES HONG KONG LIMITED RepRepresentative 2007-04-11 2008-06-02
9 SOUTH CHINA COMMODITIES LIMITED RepRepresentative 2011-07-15 2011-10-12
10 SOUTH CHINA SECURITIES LIMITED RepRepresentative 2011-07-15 2011-10-12
11 Sprout Asset Management (Asia) Limited RepRepresentative 2019-08-12 2019-09-09
12 Sunwah Kingsway Leasing and Finance Limited RepRepresentative 2005-05-10 2005-07-19
13 313 Capital Management Limited Resp OffResponsible Officer 2014-04-17 2014-05-31
14 ASA SECURITIES LIMITED Resp OffResponsible Officer 2022-03-07
15 ENLIGHTEN FUTURES LIMITED Resp OffResponsible Officer 2006-05-15 2007-03-15
16 FUJI HONG KONG COMMODITIES COMPANY LIMITED Resp OffResponsible Officer 2004-06-05 2005-05-06
17 HF Securities and Futures Limited Resp OffResponsible Officer 2020-11-02 2020-12-31
18 HUAJIN FUTURES (INTERNATIONAL) LIMITED Resp OffResponsible Officer 2015-08-17 2019-04-08
19 HUAJIN RESEARCH (INTERNATIONAL) LIMITED Resp OffResponsible Officer 2016-04-27 2019-04-08
20 HUAJIN SECURITIES (INTERNATIONAL) LIMITED Resp OffResponsible Officer 2015-08-17 2019-04-08
21 KINGSWAY FINANCIAL SERVICES GROUP LIMITED Resp OffResponsible Officer 2005-07-19 2006-03-01
22 RHB FUTURES HONG KONG LIMITED Resp OffResponsible Officer 2007-04-24 2011-07-05
23 RHB SECURITIES HONG KONG LIMITED Resp OffResponsible Officer 2008-06-02 2011-07-05
24 SOUTH CHINA COMMODITIES LIMITED Resp OffResponsible Officer 2011-10-12 2014-05-31
25 SOUTH CHINA SECURITIES LIMITED Resp OffResponsible Officer 2011-10-12 2014-05-31
26 Sprout Asset Management (Asia) Limited Resp OffResponsible Officer 2019-09-09 2020-08-31
27 Sunwah Kingsway Leasing and Finance Limited Resp OffResponsible Officer 2005-07-19 2005-11-30
28 Yuanta Asia Investment (Hong Kong) Limited Resp OffResponsible Officer 2003-08-13 2004-06-02

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