Liu, James Shu-Wing 廖樹榮
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 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | Advising on securities | 2015-06-30 | 2016-02-04 | Rep | Dealing in securities | 2015-06-30 | 2016-02-04 | RO | Advising on securities | 2016-02-04 | 2021-05-07 | RO | Dealing in securities | 2016-02-04 | 2021-05-07 |
| 2 | CHINA TONG BAO INSURANCE BROKERS LIMITED | Rep | Advising on securities | 2007-04-03 | 2007-10-31 |
| 3 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on securities | 2014-01-08 | 2015-04-09 | Rep | Dealing in securities | 2014-01-08 | 2015-04-09 |
| 4 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2014-01-08 | 2015-04-09 |
| 5 | MIDLAND WEALTH MANAGEMENT LIMITED | Rep | Advising on securities | 2008-03-05 | 2011-09-08 | Rep | Dealing in securities | 2008-03-14 | 2011-09-08 | RO | Advising on securities | 2011-09-08 | 2012-08-08 | RO | Dealing in securities | 2011-09-08 | 2012-08-08 |
| 6 | Principal Investment & Retirement Services Limited | RO | Advising on securities | 2012-09-28 | 2013-12-12 | RO | Dealing in securities | 2012-09-28 | 2013-12-12 |
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