Liu, Nelson Kwong Kin 廖廣健
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 | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2017-10-02 | Rep | Dealing in securities | 2017-10-03 | 2024-03-31 |
| 2 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in futures contracts | 2024-03-31 |
| 3 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Automated trading services | 2003-07-21 | Rep | Advising on corporate finance | 2004-06-02 | Rep | Advising on securities | 2004-06-02 | Rep | Asset management | 2004-06-02 | Rep | Dealing in securities | 2017-10-02 |
| 4 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Dealing in securities | 2017-04-05 | 2017-10-02 |
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