Hsiang-Wen Liu
劉湘雯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hsiang-Wen Liu (劉湘雯), a licensed former licensee with CE reference AHG443. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| YRD Asset Management Limited | Rep | Type 1 — Dealing in securities | 2020-05-18 | 2021-07-01 |
| YRD Asset Management Limited | Rep | Type 4 — Advising on securities | 2020-05-18 | 2021-07-01 |
| YRD Asset Management Limited | Rep | Type 9 — Asset management | 2020-05-18 | 2021-07-01 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-11-24 | 2012-06-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-11 | 2012-06-01 |
| Open Asset Management Limited 開盤資産管理有限公司 |
RO | Type 4 — Advising on securities | 2008-04-01 | 2008-10-22 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 4 — Advising on securities | 2008-04-01 | 2008-10-22 |
| Open Securities Limited 開盤證券有限公司 |
RO | Type 1 — Dealing in securities | 2006-09-29 | 2008-10-22 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-09-29 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-07 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-07 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-07 |