Lu, Jiuzhou 陸九州
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 | ABCI Securities Company Limited | Rep | Advising on corporate finance | 2009-09-02 | 2011-03-01 | Rep | Dealing in securities | 2009-10-30 | 2011-03-01 |
| 2 | BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | Dealing in securities | 2011-05-11 | 2014-07-16 |
| 3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2011-05-11 | 2014-07-16 |
| 4 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2014-10-22 | 2015-09-14 | Rep | Advising on securities | 2014-10-22 | 2015-09-14 | Rep | Dealing in securities | 2014-10-22 | 2015-09-14 |
| 5 | GF Asset Management (Hong Kong) Limited | Rep | Asset management | 2020-05-07 | 2021-01-28 | Rep | Advising on securities | 2020-05-07 | 2021-09-08 | RO | Asset management | 2021-01-28 | 2022-03-18 | RO | Advising on securities | 2021-09-08 | 2022-03-18 |
| 6 | GF Capital (Hong Kong) Limited | Rep | Advising on corporate finance | 2019-02-19 | 2020-02-21 |
| 7 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2019-02-19 | 2022-03-18 |
| 8 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2024-09-03 | Rep | Asset management | 2024-09-03 |
| 9 | PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED | Rep | Advising on securities | 2022-05-06 | 2022-06-23 | Rep | Asset management | 2022-05-06 | 2022-06-23 | RO | Advising on securities | 2022-06-23 | 2024-01-16 | RO | Asset management | 2022-06-23 | 2024-01-16 | Rep | Dealing in securities | 2022-09-01 | 2024-01-16 |
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