Lu, Cosmas Yi-Hou
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 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2003-10-13 | |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2003-10-13 | |
| 3 | Citigroup Global Markets Asia Limited | Rep | Asset management | 2003-10-13 | |
| 4 | Citigroup Global Markets Asia Limited | Rep | Automated trading services | 2003-10-13 | |
| 5 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Advising on futures contracts | 2003-10-13 | |
| 6 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Asset management | 2003-10-13 | |
| 7 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2005-02-16 | |
| 8 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2005-02-16 | |
| 9 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2005-03-08 | 2014-11-13 |
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