SFC licenceholder AHO649 LIU Shuang 劉爽

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 05 April 2020

Institution Role Licences Start date End date
BOB Scotia International Asset Management Company Limited 中加國際資產管理有限公司 RO [1] (Dealing in Securities) 14 September 2016
BOB Scotia International Asset Management Company Limited 中加國際資產管理有限公司 RO [4] (Advising on Securities), [9] (Asset Management) 14 July 2015
Fortune Asset Management Limited 富強資產管理有限公司 RO [4] (Advising on Securities) 31 May 2012 01 July 2015
Fortune Asset Management Limited 富強資產管理有限公司 RO [9] (Asset Management) 06 February 2012 01 July 2015
Formula Growth Asia Limited RE [9] (Asset Management) 19 October 2011 31 January 2012
OP Investment Management Limited 東英投資管理有限公司 RE [9] (Asset Management) 11 May 2009 11 October 2011
SanJohn Capital Limited 三川資本有限公司 RE [9] (Asset Management) 27 August 2008 10 May 2009
CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 22 April 2008 23 July 2008
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RE [4] (Advising on Securities), [9] (Asset Management) 30 November 2007 15 April 2008
SMBC Nikko Securities (Hong Kong) Limited RE [9] (Asset Management) 10 May 2007 11 November 2007
9F Primasia Securities Limited 玖富證券有限公司 RE [5] (Advising on Futures Contracts) 09 February 2007 11 November 2007
SMBC Nikko Securities (Hong Kong) Limited RE [4] (Advising on Securities) 09 February 2007 11 November 2007
SMBC Nikko Securities (Hong Kong) Limited RE [1] (Dealing in Securities) 01 December 2006 11 November 2007
Oriental Patron Asia Limited 東英亞洲有限公司 RE [1] (Dealing in Securities) 19 July 2003 17 November 2006
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 10 May 2003