Liu, Yuen Nam 廖遠南
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 | GAYANG SECURITIES LIMITED | Rep | Advising on securities | 2004-06-21 | |
| 2 | KGI ASIA LIMITED | Rep | Dealing in securities | 2008-03-05 | 2012-12-07 | Rep | Advising on securities | 2008-03-25 | 2012-12-07 |
| 3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-03-05 | 2012-12-07 |
| 4 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2005-04-19 | 2008-02-23 |
| 5 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-07-14 | 2008-02-23 |
| 6 | Quam Securities Limited | Rep | Advising on securities | 2013-01-03 | 2015-06-01 | Rep | Asset management | 2013-01-03 | 2015-06-01 | Rep | Dealing in futures contracts | 2013-01-03 | 2015-06-01 | Rep | Dealing in securities | 2013-01-03 | 2015-06-01 |
| 7 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2015-06-26 | 2018-08-31 |
| 8 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2015-06-26 | 2018-08-31 |
| 9 | TOPAZ CAPITAL MANAGEMENT LIMITED | Rep | Asset management | 2021-06-24 | |
| 10 | Topaz Financial Group Limited | Rep | Dealing in securities | 2021-06-24 |
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