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LIU Che Ning

劉哲寧
CE ABY439Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

LIU Che Ning (CE number ABY439) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHSBC Corporate Finance (Hong Kong) Limited
Executive OfficerHongkong and Shanghai Banking Corporation Limited, The
香港上海滙豐銀行有限公司

Licence Record (3)

2012-03-09 – present Current
HSBC Corporate Finance (Hong Kong) Limited RO
RA 6
2006-01-13 – 2009-10-07
Morgan Stanley Asia Limited RO
RA 1 RA 6
2003-04-01 – 2006-01-13
Morgan Stanley Asia Limited Rep
RA 1 RA 4 RA 6 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABY439