Liu, Yun (SFC:AHS958) 劉運
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CLSA LIMITED | Rep | Dealing in securities | 2004-02-05 | 2004-04-06 |
| 2 | CLSA RESEARCH LIMITED | Rep | Advising on securities | 2004-04-06 | |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2004-05-12 | 2005-01-24 | Rep | Dealing in securities | 2004-05-12 | 2006-02-15 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2005-01-24 | 2006-02-15 |
| 5 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-05-31 | 2015-02-25 |
| 6 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-05-31 | 2015-02-25 |
| 7 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-03-20 | 2010-03-23 | Rep | Dealing in securities | 2006-03-20 | 2010-03-23 |
| 8 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-03-20 | 2010-03-23 | Rep | Dealing in futures contracts | 2006-03-20 | 2010-03-23 |
| 9 | SINOPAC ASSET MANAGEMENT (ASIA) LIMITED | Rep | Dealing in securities | 2015-06-04 | 2017-01-13 | Rep | Advising on securities | 2015-08-07 | 2017-01-13 | Rep | Asset management | 2015-08-07 | 2017-01-13 |
| 10 | Summer Capital Management Company Limited | RO | Advising on securities | 2017-01-16 | RO | Asset management | 2017-01-16 | RO | Dealing in securities | 2019-07-16 |
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