Liu, Yun (SFC:AHS958) 劉運

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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 RESEARCH LIMITED Rep Advising on securities 2004-04-06
2 Credit Suisse (Hong Kong) Limited Rep Advising on securities 2004-05-12 2005-01-24
3 SINOPAC ASSET MANAGEMENT (ASIA) LIMITED Rep Advising on securities 2015-08-07 2017-01-13
4 SINOPAC ASSET MANAGEMENT (ASIA) LIMITED Rep Asset management 2015-08-07 2017-01-13
5 Morgan Stanley Asia Limited Rep Automated trading services 2006-03-20 2010-03-23
6 Morgan Stanley Hong Kong Futures Limited Rep Automated trading services 2006-03-20 2010-03-23
7 Morgan Stanley Hong Kong Futures Limited Rep Dealing in futures contracts 2006-03-20 2010-03-23
8 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2010-05-31 2015-02-25
9 CLSA LIMITED Rep Dealing in securities 2004-02-05 2004-04-06
10 Credit Suisse (Hong Kong) Limited Rep Dealing in securities 2004-05-12 2006-02-15
11 Credit Suisse Securities (Hong Kong) Limited Rep Dealing in securities 2005-01-24 2006-02-15
12 Morgan Stanley Asia Limited Rep Dealing in securities 2006-03-20 2010-03-23
13 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2010-05-31 2015-02-25
14 SINOPAC ASSET MANAGEMENT (ASIA) LIMITED Rep Dealing in securities 2015-06-04 2017-01-13
15 Summer Capital Management Company Limited RO Advising on securities 2017-01-16
16 Summer Capital Management Company Limited RO Asset management 2017-01-16
17 Summer Capital Management Company Limited RO Dealing in securities 2019-07-16

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