Lu, Carolyn Anne 陸舜華
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 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-05-10 | Rep | Advising on futures contracts | 2004-05-10 | Rep | Asset management | 2004-05-10 | Rep | Advising on securities | 2004-08-27 | RO | Advising on futures contracts | 2004-08-27 | 2006-05-01 | RO | Advising on securities | 2004-08-27 | 2006-05-01 | RO | Asset management | 2005-01-18 | 2006-05-01 | RO | Dealing in securities | 2005-10-31 | 2006-05-01 |
| 2 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-05-10 | Rep | Asset management | 2004-05-10 | Rep | Advising on securities | 2004-08-27 | Rep | Dealing in securities | 2004-08-27 | RO | Advising on futures contracts | 2004-08-27 | 2006-05-01 | RO | Advising on securities | 2004-08-27 | 2006-05-01 | RO | Dealing in securities | 2004-08-27 | 2006-05-01 | RO | Asset management | 2005-01-18 | 2006-05-01 |
| 3 | SG ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Advising on securities | 2006-08-30 | 2008-10-02 | RO | Asset management | 2006-08-30 | 2008-10-02 | RO | Dealing in securities | 2007-08-14 | 2008-10-02 |
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