Liu, Alan Chi Lun 廖志崙
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 | AP Asset Management (HK) Limited | Rep | Dealing in securities | 2006-12-29 | 2007-05-07 | Rep | Advising on securities | 2007-02-06 | 2007-05-15 | Rep | Asset management | 2007-02-06 | 2007-05-15 | RO | Dealing in securities | 2007-05-07 | 2008-06-07 | RO | Advising on securities | 2007-05-15 | 2008-06-07 | RO | Asset management | 2007-05-15 | 2008-06-07 |
2 | DWS Investments Hong Kong Limited | Rep | Advising on securities | 2016-07-13 | 2016-08-27 | Rep | Dealing in securities | 2016-07-13 | 2016-08-27 |
3 | HFR ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Dealing in securities | 2006-06-15 | 2006-11-23 |
4 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-03-01 | Rep | Advising on futures contracts | 2004-03-19 | Rep | Advising on securities | 2004-03-19 | Rep | Asset management | 2004-03-19 | RO | Advising on futures contracts | 2004-03-19 | 2005-08-03 | RO | Advising on securities | 2004-03-19 | 2005-08-03 | RO | Asset management | 2004-03-19 | 2005-08-03 |
5 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Advising on futures contracts | 2004-03-19 | 2005-08-03 | RO | Advising on securities | 2004-03-19 | 2005-08-03 | RO | Asset management | 2004-03-19 | 2005-08-03 |
6 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Advising on futures contracts | 2004-03-19 | 2005-08-03 | RO | Advising on securities | 2004-03-19 | 2005-08-03 | RO | Asset management | 2004-03-19 | 2005-08-03 | Rep | Dealing in securities | 2004-08-30 | 2004-12-23 | RO | Dealing in securities | 2004-12-23 | 2005-08-03 | RO | Advising on corporate finance | 2005-06-06 | 2005-08-03 |
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