Alan Chi Lun Liu
廖志崙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan Chi Lun Liu (廖志崙), a licensed former licensee with CE reference ABX785. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-13 | 2016-08-27 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-13 | 2016-08-27 |
| AP Asset Management (HK) Limited | RO | Type 4 — Advising on securities | 2007-05-15 | 2008-06-07 |
| AP Asset Management (HK) Limited | RO | Type 9 — Asset management | 2007-05-15 | 2008-06-07 |
| AP Asset Management (HK) Limited | RO | Type 1 — Dealing in securities | 2007-05-07 | 2008-06-07 |
| AP Asset Management (HK) Limited | Rep | Type 4 — Advising on securities | 2007-02-06 | 2007-05-15 |
| AP Asset Management (HK) Limited | Rep | Type 9 — Asset management | 2007-02-06 | 2007-05-15 |
| AP Asset Management (HK) Limited | Rep | Type 1 — Dealing in securities | 2006-12-29 | 2007-05-07 |
| HFR Asset Management (Hong Kong) Limited 恒富資產管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-06-15 | 2006-11-23 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2005-06-06 | 2005-08-03 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2004-12-23 | 2005-08-03 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2004-08-30 | 2004-12-23 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 4 — Advising on securities | 2004-03-19 | 2005-08-03 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 5 — Advising on futures contracts | 2004-03-19 | 2005-08-03 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 9 — Asset management | 2004-03-19 | 2005-08-03 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2004-03-19 | 2005-08-03 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2004-03-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-03-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-03-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-03-19 |