Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, CHENGEN
Chinese Name of Relevant Individual
劉成恩
HKMA Registration Number
AC7097
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Oct 2019 - 10 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Oct 2019 - 10 Nov 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2017 - 01 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2017 - 01 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2005 - 12 Apr 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LIU, CHENGEN
:
Chinese Name of Relevant Individual
劉成恩
:
HKMA Registration Number
AC7097
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7097
EFG BANK AG
Type 1: dealing in securities
02 Oct 2019 - 10 Nov 2020
Yes
AC7097
EFG BANK AG
Type 4: advising on securities
02 Oct 2019 - 10 Nov 2020
Yes
AC7097
EFG BANK AG
Type 1: dealing in securities
12 Aug 2017 - 01 Oct 2019
No
AC7097
EFG BANK AG
Type 4: advising on securities
12 Aug 2017 - 01 Oct 2019
No
AC7097
BARCLAYS BANK PLC
Type 1: dealing in securities
30 Sep 2005 - 12 Apr 2007
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.