Chang (SFC:AVT314) Liu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chang (SFC:AVT314) Liu ( ), a licensed former licensee with CE reference AVT314. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 1 — Dealing in securities | 2022-09-30 | 2022-10-17 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 4 — Advising on securities | 2022-09-30 | 2022-10-17 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 9 — Asset management | 2022-09-30 | 2022-10-17 |
| Cachet Asset Management Limited 臻卓資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-06-11 | 2022-04-08 |
| Cachet Asset Management Limited 臻卓資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-06-11 | 2022-04-08 |
| Cachet Asset Management Limited 臻卓資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-06-11 | 2022-04-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-06 | 2011-09-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-09-06 | 2011-09-02 |