Liu, James Yan Chee 劉恩賜
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 | CES Commodities (HK) Limited | Rep | Advising on futures contracts | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in futures contracts | 2004-03-09 |
| 2 | ENLIGHTEN FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-05-19 | 2004-10-19 |
| 3 | ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2004-05-19 | 2004-10-19 |
| 4 | Everbright Securities Investment Services (HK) Limited | Rep | Automated trading services | 2003-07-07 | Rep | Advising on corporate finance | 2004-01-19 | Rep | Advising on securities | 2004-01-19 | Rep | Asset management | 2004-01-19 | Rep | Dealing in securities | 2004-03-09 |
| 5 | KGI ASIA LIMITED | Rep | Dealing in securities | 2004-10-27 | 2010-09-13 |
| 6 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-10-27 | 2010-09-13 |
| 7 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2010-09-22 | 2015-10-31 |
| 8 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2010-09-22 | 2015-10-31 |
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