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LIU Kit Ling

廖潔靈
CE AUI936Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LIU Kit Ling (CE number AUI936) is an individual licensed by the Hong Kong SFC. First licensed on 2009-12-17. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerOrient Securities (Hong Kong) Limited
東方證券(香港)有限公司
RepresentativeOrient Securities (Hong Kong) Limited
東方證券(香港)有限公司

Licence Record (6)

2019-01-31 – present Current
Orient Securities (Hong Kong) Limited RO
RA 1
2015-10-13 – present Current
Orient Securities (Hong Kong) Limited Rep
RA 1 RA 4
2017-12-20 – 2023-02-08
Orient Asset Management (Hong Kong) Limited Rep
RA 9
2013-09-19 – 2014-07-01
KGI Wealth Management Limited Rep
RA 4
2009-12-17 – 2015-10-01
KGI Asia Limited Rep
RA 1 RA 4
2009-12-17 – 2014-07-01
KGI Futures (Hong Kong) Limited Rep
RA 2

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/AUI936