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LIU Ming Lai, Lorna

廖明麗
CE AAO975Licensed IndividualSFO licence active
Official SFC record

LIU Ming Lai, Lorna (CE number AAO975) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeKingston Futures Limited
金利豐期貨有限公司
RepresentativeKingston Securities Limited
金利豐證券有限公司

Licence Record (4)

2005-05-09 – present Current
Kingston Securities Limited Rep
RA 1
2005-05-09 – present Current
Kingston Futures Limited Rep
RA 2
2003-04-01 – 2005-05-01
Funderstone Securities Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2005-05-01
Funderstone Futures Limited Rep
RA 2 RA 5 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAO975