Liu, Chengen 劉成恩
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 | ABCI ASSET MANAGEMENT LIMITED | Rep | Asset management | 2013-11-14 | 2014-01-29 | Rep | Advising on securities | 2013-12-09 | 2014-01-29 |
| 2 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2005-10-13 | 2007-04-11 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2015-06-10 | 2017-07-17 |
| 4 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2015-06-10 | 2017-07-17 | Rep | Dealing in securities | 2015-06-10 | 2017-07-17 |
| 5 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2007-05-18 | 2012-09-28 |
| 6 | GOLDHORSE CAPITAL MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2020-12-07 | 2021-10-21 | Rep | Dealing in securities | 2020-12-07 | 2021-10-21 | Rep | Asset management | 2020-12-07 | 2022-01-19 | RO | Advising on securities | 2021-10-21 | RO | Dealing in securities | 2021-10-21 |
| 7 | NOAH HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2014-08-21 | 2015-05-28 | Rep | Dealing in securities | 2014-08-21 | 2015-05-28 |
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