Lu, Rong (SFC:ACB322) 陸戎

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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 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
2 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
3 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
4 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
5 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
6 ASCENT FINANCIAL PARTNERS LIMITED RO Advising on securities 2020-08-04
RO Dealing in securities 2020-08-04 2022-11-14

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