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. This person has 4.4 years of SFC licence history. Total licence records on file: 25.
Information
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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 | Pre-2003 | 2004-03-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-03-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-01 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-03-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alan Chi Lun Liu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.