Liu, Yuen Shan (SFC:AAM383) 廖婉珊
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 | 2014-07-14 | |
| 2 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2014-07-14 | |
| 3 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2020-12-23 | |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | |
| 5 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-09-10 | |
| 6 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Asset management | 2004-09-10 | |
| 7 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-09-10 | |
| 8 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2004-09-10 | |
| 9 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Asset management | 2004-09-10 | |
| 10 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-06-06 | |
| 11 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-06-06 |
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