Liu, Yuen Shan (SFC:ADC177) 廖婉珊
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 | PACIFIC WORLD ASSET MANAGEMENT LIMITED | Rep | Advising on corporate finance | 2004-02-11 | |
| 2 | PACIFIC WORLD ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2005-12-01 | |
| 3 | PACIFIC WORLD ASSET MANAGEMENT LIMITED | Rep | Asset management | 2005-12-01 | |
| 4 | Lion Global Financial Limited | Rep | Advising on securities | 2005-12-13 | 2012-01-04 |
| 5 | Lion Global Financial Limited | Rep | Asset management | 2005-12-13 | 2014-04-11 |
| 6 | Lion Global Financial Limited | Rep | Dealing in securities | 2009-03-26 | 2012-09-18 |
| 7 | Lion Global Financial Limited | RO | Dealing in securities | 2012-09-18 | 2014-04-11 |
| 8 | FORMAX ASSET MANAGEMENT LIMITED | Rep | Asset management | 2014-12-10 | 2015-05-28 |
| 9 | FORMAX SECURITIES LIMITED | Rep | Dealing in securities | 2014-12-10 | 2015-05-28 |
| 10 | HK Monkey Securities Limited | RO | Asset management | 2017-11-10 | 2018-05-18 |
| 11 | HK Monkey Securities Limited | RO | Dealing in securities | 2017-11-10 | 2018-05-18 |
| 12 | 313 Capital Management Limited | Rep | Asset management | 2018-06-20 | 2018-08-01 |
| 13 | 313 Capital Management Limited | RO | Asset management | 2018-08-01 | 2019-06-04 |
| 14 | Keptain Securities and Asset Management Limited | RO | Dealing in securities | 2019-08-14 | 2022-08-31 |
| 15 | Keptain Securities and Asset Management Limited | RO | Asset management | 2019-08-14 | 2024-04-17 |
| 16 | Keptain Securities and Asset Management Limited | RO | Advising on securities | 2020-08-03 | 2024-04-17 |
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