Liu, Elkey Kit Yi 廖潔儀
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 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2020-03-09 | 2021-10-29 | Rep | Dealing in securities | 2020-03-09 | 2021-10-29 | Rep | Advising on securities | 2021-04-30 | 2021-10-29 |
| 2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2012-10-21 | Rep | Leveraged foreign exchange trading | 2019-10-11 | 2020-01-29 |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-08-05 | Rep | Asset management | 2004-08-05 | Rep | Dealing in futures contracts | 2012-10-21 | Rep | Dealing in futures contracts | 2019-09-17 | 2020-01-29 |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-08-05 | Rep | Advising on securities | 2004-08-05 | Rep | Asset management | 2004-08-05 | Rep | Dealing in securities | 2012-10-21 | Rep | Dealing in securities | 2019-09-17 | 2020-01-29 | Rep | Advising on securities | 2019-10-11 | 2020-01-29 |
| 5 | PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED | Rep | Dealing in futures contracts | 2012-10-25 | 2014-04-14 |
| 6 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2012-10-25 | 2014-04-14 |
| 7 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2014-04-17 | 2019-08-23 |
| 8 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2014-04-17 | 2019-08-23 |
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