Cheng, Shu Yuen 鄭樹源
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 | First Sentier Investors (Hong Kong) Limited | Rep | Asset management | 2003-04-16 | 2006-07-08 | Rep | Dealing in securities | 2003-04-16 | 2006-07-08 | Rep | Advising on futures contracts | 2006-02-15 | 2006-07-08 |
| 2 | FIRST STATE (HONG KONG) LLC | Rep | Advising on futures contracts | 2006-02-15 | 2006-07-08 |
| 3 | HuaAn Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2013-03-08 | 2013-09-26 | Rep | Asset management | 2013-03-08 | 2013-09-26 | RO | Advising on securities | 2013-09-26 | 2020-05-03 | RO | Asset management | 2013-09-26 | 2020-05-03 |
| 4 | Kaisa Asset Management Limited | Rep | Advising on securities | 2020-09-04 | 2020-10-23 | Rep | Asset management | 2020-09-04 | 2020-10-23 | RO | Advising on securities | 2020-10-23 | 2022-05-27 | RO | Asset management | 2020-10-23 | 2022-05-27 |
| 5 | Kaisa Financial Group Company Limited | Rep | Dealing in securities | 2020-10-21 | 2022-05-27 |
| 6 | KAISEN ASSET MANAGEMENT LIMITED | Rep | Asset management | 2009-12-03 | 2010-03-08 | RO | Asset management | 2010-03-08 | 2012-12-31 |
| 7 | Liquidity Finance (Hong Kong) Limited | RO | Advising on securities | 2024-02-22 | |
| 8 | ORIENT SECURITIES LIMITED | Rep | Advising on securities | 2022-06-06 | 2022-06-15 | Rep | Asset management | 2022-06-06 | 2022-06-15 | Rep | Dealing in securities | 2022-06-06 | 2022-06-15 | RO | Advising on securities | 2022-06-15 | 2023-08-19 | RO | Asset management | 2022-06-15 | 2023-08-19 | RO | Dealing in securities | 2022-06-15 | 2023-08-19 |
| 9 | Sculptor Capital Management Hong Kong Limited (b2001-12-28) | Rep | Asset management | 2008-07-14 | 2008-12-05 |
| 10 | UBS Asset Management (Hong Kong) Limited | Rep | Asset management | 2006-07-17 | 2008-07-12 | Rep | Advising on securities | 2006-07-19 | 2008-07-12 |
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