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