Liu, Wallace Kai Yip 廖啟業
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2008-05-16 | 2008-07-08 | Rep | Dealing in securities | 2008-05-16 | 2008-07-08 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2008-08-18 | 2009-01-23 |
| 3 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2008-08-18 | 2009-01-23 |
| 4 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-08-18 | 2009-01-23 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-07-27 | 2012-04-28 | Rep | Dealing in securities | 2010-07-27 | 2012-04-28 |
| 6 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-07-27 | 2012-04-28 | Rep | Dealing in securities | 2010-07-27 | 2012-04-28 |
| 7 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on securities | 2012-07-27 | 2014-09-29 | Rep | Dealing in securities | 2012-07-27 | 2014-09-29 | Rep | Advising on futures contracts | 2013-02-19 | 2014-09-29 | Rep | Dealing in futures contracts | 2013-02-19 | 2014-09-29 |
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