Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LIU Han-Chih

劉翰芷
CE AWJ230Licensed IndividualSFO licence active
Official SFC record

LIU Han-Chih (CE number AWJ230) is an individual licensed by the Hong Kong SFC. First licensed on 2010-11-24. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeSchroder Investment Management (Hong Kong) Limited

Licence Record (4)

2019-01-29 – present Current
Schroder Investment Management (Hong Kong) Limited Rep
RA 4 RA 9
2015-04-10 – 2018-12-11
Dymon Asia Capital (HK) Limited Rep
RA 9
2012-05-18 – 2015-02-28
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 4
2010-11-24 – 2012-04-30
Macquarie Capital Limited Rep
RA 4

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/AWJ230