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LIU Kai Wa

廖啟華
CE AXL351Licensed IndividualSFO licence active
Official SFC record

LIU Kai Wa (CE number AXL351) is an individual licensed by the Hong Kong SFC. First licensed on 2011-06-17. Their SFC licence is currently active. Accredited for regulated activity Type 4 (Advising on securities).

Regulated Activities (on record) (1)

RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeUBS Securities Asia Limited

Licence Record (1)

2011-06-17 – present Current
UBS Securities Asia Limited Rep
RA 4

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/AXL351