Yuen Shan Liu
廖婉珊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuen Shan Liu (廖婉珊), a licensed Responsible Officer with CE reference ADC177. Currently licensed at 1 firm(s): Treeline Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Treeline Asset Management Limited 若木資產管理有限公司 |
RO | Type 4 — Advising on securities | 2025-05-20 | present |
| Treeline Asset Management Limited 若木資產管理有限公司 |
RO | Type 9 — Asset management | 2025-05-20 | present |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-08-03 | 2024-04-17 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-08-14 | 2022-08-31 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 9 — Asset management | 2019-08-14 | 2024-04-17 |
| 313 Capital Management Limited 313資本管理有限公司 |
RO | Type 9 — Asset management | 2018-08-01 | 2019-06-04 |
| 313 Capital Management Limited 313資本管理有限公司 |
Rep | Type 9 — Asset management | 2018-06-20 | 2018-08-01 |
| Rockflow Securities Limited 奇運證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-10 | 2018-05-18 |
| Rockflow Securities Limited 奇運證券有限公司 |
RO | Type 9 — Asset management | 2017-11-10 | 2018-05-18 |
| Formax Securities Limited 福億證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-10 | 2015-05-28 |
| Formax Asset Management Limited 福億資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-12-10 | 2015-05-28 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-18 | 2014-04-11 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-26 | 2012-09-18 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 4 — Advising on securities | 2005-12-13 | 2012-01-04 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 9 — Asset management | 2005-12-13 | 2014-04-11 |
| Pacific World Asset Management Limited 盛世資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-12-01 |
| Pacific World Asset Management Limited 盛世資產管理有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-11 |
| Pacific World Asset Management Limited 盛世資產管理有限公司 |
Rep | Type 9 — Asset management | present | 2005-12-01 |