Liu, Christina Lai Sum 廖麗心
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Polaris Capital (Asia) Limited | Rep | Dealing in securities | 2003-05-14 | 2004-06-02 |
| 2 | Yuanta Asia Investment (Hong Kong) Limited | RO | Advising on futures contracts | 2003-08-13 | 2004-06-02 |
| 3 | Yuanta Asia Investment (Hong Kong) Limited | RO | Dealing in futures contracts | 2003-08-13 | 2004-06-02 |
| 4 | FUJI HONG KONG COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2004-06-02 | 2004-06-05 |
| 5 | FUJI HONG KONG COMMODITIES COMPANY LIMITED | RO | Dealing in futures contracts | 2004-06-05 | 2005-05-06 |
| 6 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| 7 | Sunwah Kingsway Leasing and Finance Limited | Rep | Dealing in futures contracts | 2005-05-10 | 2005-07-19 |
| 8 | Sunwah Kingsway Leasing and Finance Limited | RO | Dealing in futures contracts | 2005-07-19 | 2005-11-30 |
| 9 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | RO | Dealing in futures contracts | 2005-07-19 | 2006-03-01 |
| 10 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in securities | 2005-07-19 | 2006-03-01 |
| 11 | ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-03-21 | 2006-05-15 |
| 12 | ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2006-03-21 | 2007-03-15 |
| 13 | ENLIGHTEN FUTURES LIMITED | RO | Dealing in futures contracts | 2006-05-15 | 2007-03-15 |
| 14 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2007-04-11 | 2007-04-24 |
| 15 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2007-04-11 | 2008-06-02 |
| 16 | RHB FUTURES HONG KONG LIMITED | RO | Dealing in futures contracts | 2007-04-24 | 2011-07-05 |
| 17 | RHB SECURITIES HONG KONG LIMITED | RO | Dealing in securities | 2008-06-02 | 2011-07-05 |
| 18 | RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2008-09-26 | 2011-07-05 |
| 19 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2011-07-15 | 2011-10-12 |
| 20 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2011-07-15 | 2011-10-12 |
| 21 | SOUTH CHINA COMMODITIES LIMITED | RO | Dealing in futures contracts | 2011-10-12 | 2014-05-31 |
| 22 | SOUTH CHINA SECURITIES LIMITED | RO | Dealing in securities | 2011-10-12 | 2014-05-31 |
| 23 | 313 Capital Management Limited | Rep | Asset management | 2012-05-24 | 2014-04-17 |
| 24 | 313 Capital Management Limited | RO | Asset management | 2014-04-17 | 2014-05-31 |
| 25 | HUAJIN FUTURES (INTERNATIONAL) LIMITED | RO | Dealing in futures contracts | 2015-08-17 | 2019-04-08 |
| 26 | HUAJIN SECURITIES (INTERNATIONAL) LIMITED | RO | Dealing in securities | 2015-08-17 | 2019-04-08 |
| 27 | HUAJIN RESEARCH (INTERNATIONAL) LIMITED | RO | Advising on securities | 2016-04-27 | 2019-04-08 |
| 28 | Sprout Asset Management (Asia) Limited | Rep | Advising on securities | 2019-08-12 | 2019-09-09 |
| 29 | Sprout Asset Management (Asia) Limited | Rep | Dealing in securities | 2019-08-12 | 2019-09-09 |
| 30 | Sprout Asset Management (Asia) Limited | RO | Advising on securities | 2019-09-09 | 2020-08-31 |
| 31 | Sprout Asset Management (Asia) Limited | RO | Dealing in securities | 2019-09-09 | 2020-08-31 |
| 32 | HF Securities and Futures Limited | RO | Dealing in futures contracts | 2020-11-02 | 2020-12-31 |
| 33 | HF Securities and Futures Limited | RO | Dealing in securities | 2020-11-02 | 2020-12-31 |
| 34 | ASA SECURITIES LIMITED | RO | Advising on securities | 2022-03-07 | |
| 35 | ASA SECURITIES LIMITED | RO | Dealing in futures contracts | 2022-03-07 | |
| 36 | ASA SECURITIES LIMITED | RO | Dealing in securities | 2022-03-07 |
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