Lu, Gloria Yi 陸奕
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 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Dealing in securities | 2010-03-04 | 2010-05-12 |
| 2 | BlackRock Asset Management North Asia Limited | Rep | Advising on securities | 2009-09-24 | 2010-05-12 | Rep | Asset management | 2010-03-04 | 2010-05-12 |
| 3 | BOND TRUST LIMITED | Rep | Advising on securities | 2013-09-24 | 2013-10-29 | Rep | Asset management | 2013-09-24 | 2013-10-29 | RO | Advising on securities | 2013-10-29 | 2014-03-10 | RO | Asset management | 2013-10-29 | 2014-03-10 |
| 4 | CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED | Rep | Advising on securities | 2010-09-20 | 2010-10-25 | Rep | Asset management | 2010-09-20 | 2010-10-25 | RO | Advising on securities | 2010-10-25 | 2011-04-25 | RO | Asset management | 2010-10-25 | 2011-04-25 | Rep | Advising on securities | 2011-07-06 | 2011-09-06 | Rep | Asset management | 2011-07-06 | 2011-09-06 | RO | Advising on securities | 2011-09-06 | 2013-09-05 | RO | Asset management | 2011-09-06 | 2013-09-05 |
| 5 | China Renaissance Securities (Hong Kong) Limited | Rep | Advising on securities | 2014-09-01 | 2014-10-13 | Rep | Dealing in securities | 2014-09-01 | 2014-10-13 | RO | Advising on securities | 2014-10-13 | 2016-05-01 | RO | Dealing in securities | 2014-10-13 | 2016-05-01 |
| 6 | CR Wealth and Asset Management Limited | RO | Asset management | 2016-02-03 | 2016-05-01 |
| 7 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2003-06-03 | 2007-08-01 | Rep | Advising on corporate finance | 2003-09-17 | 2004-01-08 | Rep | Advising on securities | 2004-02-02 | 2007-08-01 |
| 8 | Fountainhead Partners Company Limited | RO | Advising on securities | 2015-10-12 | 2016-02-03 | RO | Asset management | 2015-10-12 | 2016-02-03 | RO | Dealing in securities | 2015-10-12 | 2016-02-03 |
| 9 | HEAD & SHOULDERS ASSET MANAGEMENT LIMITED | Rep | Asset management | 2014-03-13 | 2014-03-31 | RO | Asset management | 2014-03-31 | 2014-08-22 |
| 10 | HEAD & SHOULDERS SECURITIES LIMITED | Rep | Advising on securities | 2014-03-13 | 2014-03-31 | Rep | Dealing in securities | 2014-03-13 | 2014-08-22 | RO | Advising on securities | 2014-03-31 | 2014-08-22 |
| 11 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-05-03 | Rep | Advising on securities | 2003-05-03 | Rep | Asset management | 2003-05-03 | Rep | Dealing in securities | 2003-05-03 |
| 12 | Parantoux Capital Limited | RO | Asset management | 2016-09-01 |
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