Yun (SFC:AHS958) Liu
劉運
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yun (SFC:AHS958) Liu (劉運), a licensed former licensee with CE reference AHS958. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-16 | 2025-06-30 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 4 — Advising on securities | 2017-01-16 | 2025-06-30 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 9 — Asset management | 2017-01-16 | 2025-06-30 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-08-07 | 2017-01-13 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2015-08-07 | 2017-01-13 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-04 | 2017-01-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-05-31 | 2015-02-25 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-05-31 | 2015-02-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-20 | 2010-03-23 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2006-03-20 | 2010-03-23 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-03-20 | 2010-03-23 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-03-20 | 2010-03-23 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-24 | 2006-02-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-12 | 2006-02-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-05-12 | 2005-01-24 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-02-05 | 2004-04-06 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-06 |