Liu, King Wai 劉勁威
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 | KGI ASIA LIMITED | Rep | Dealing in securities | 2017-10-12 | 2022-07-29 |
| 2 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2017-10-12 | 2022-07-29 |
| 3 | Nomura Asia Investment (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-11-18 | Rep | Asset management | 2004-11-18 | Rep | Dealing in futures contracts | 2010-02-19 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-11-18 | Rep | Advising on securities | 2004-11-18 | Rep | Asset management | 2004-11-18 | Rep | Dealing in securities | 2010-05-12 | Rep | Dealing in futures contracts | 2004-11-29 | 2010-05-12 |
| 5 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-11-18 | Rep | Advising on securities | 2004-11-18 | Rep | Asset management | 2004-11-18 | Rep | Dealing in securities | 2010-05-12 | Rep | Dealing in futures contracts | 2010-02-03 | 2010-05-12 |
| 6 | STOCKWELL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2010-09-09 | 2017-09-29 |
| 7 | STOCKWELL SECURITIES LIMITED | Rep | Dealing in securities | 2010-09-09 | 2017-09-29 |
| 8 | Success Securities Limited | Rep | Dealing in securities | 2022-09-15 | 2023-05-08 |
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