Lu, Rong (SFC:ACB322) 陸戎
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 | ASCENT FINANCIAL PARTNERS LIMITED | RO | Advising on securities | 2020-08-04 | RO | Dealing in securities | 2020-08-04 | 2022-11-14 |
2 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2006-07-25 | 2010-03-19 | Rep | Dealing in securities | 2006-07-25 | 2010-03-19 | RO | Advising on corporate finance | 2010-03-19 | 2014-01-27 | RO | Dealing in securities | 2010-03-19 | 2014-01-27 |
3 | BOCI ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2009-10-30 | 2010-03-19 | Rep | Asset management | 2009-10-30 | 2014-01-27 | RO | Advising on securities | 2010-03-19 | 2014-01-27 |
4 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2006-07-25 | 2010-03-19 | Rep | Dealing in futures contracts | 2006-07-25 | 2010-03-19 | Rep | Dealing in securities | 2006-07-25 | 2010-03-19 | RO | Advising on securities | 2010-03-19 | 2014-01-27 | RO | Dealing in futures contracts | 2010-03-19 | 2014-01-27 | RO | Dealing in securities | 2010-03-19 | 2014-01-27 |
5 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2014-03-31 | 2014-04-29 | Rep | Dealing in futures contracts | 2014-03-31 | 2014-04-29 | Rep | Dealing in securities | 2014-03-31 | 2014-04-29 | Rep | Asset management | 2014-03-31 | 2014-08-22 | RO | Advising on securities | 2014-04-29 | 2017-04-28 | RO | Dealing in futures contracts | 2014-04-29 | 2017-04-28 | RO | Dealing in securities | 2014-04-29 | 2017-04-28 | RO | Advising on corporate finance | 2014-08-05 | 2017-04-28 | RO | Asset management | 2014-08-22 | 2017-04-28 |
6 | TARGET CAPITAL MANAGEMENT LIMITED (HK) | RO | Dealing in securities | 2017-11-14 | 2018-02-26 | RO | Advising on securities | 2017-11-14 | 2018-12-31 | RO | Asset management | 2017-11-14 | 2018-12-31 |
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