Lui, Dennis Kar Wong 呂家煌
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 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2012-09-25 | 2017-06-07 |
| 2 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2011-06-09 | 2011-10-18 | RO | Dealing in securities | 2011-10-18 | 2017-06-07 |
| 3 | China Zhong Sheng Securities Limited | RO | Advising on securities | 2019-01-29 | 2020-02-29 | RO | Asset management | 2019-01-29 | 2020-02-29 | RO | Dealing in securities | 2019-01-29 | 2020-02-29 |
| 4 | Complus Asset Management Limited | Rep | Asset management | 2021-10-20 | 2022-12-09 | RO | Asset management | 2022-12-09 | RO | Advising on securities | 2023-03-30 | RO | Dealing in securities | 2023-03-30 |
| 5 | Harmony Advisors Limited | Rep | Advising on securities | 2020-03-24 | 2020-04-20 | Rep | Asset management | 2020-03-24 | 2020-04-20 | Rep | Dealing in securities | 2020-03-24 | 2020-04-20 | RO | Advising on securities | 2020-04-20 | 2021-09-28 | RO | Asset management | 2020-04-20 | 2021-09-28 | RO | Dealing in securities | 2020-04-20 | 2021-09-28 |
| 6 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2009-08-10 | 2011-03-01 | Rep | Advising on securities | 2009-09-11 | 2011-03-01 |
| 7 | Nomura Asia Investment (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-11-24 | Rep | Asset management | 2004-11-24 | Rep | Dealing in futures contracts | 2009-04-30 |
| 8 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-11-24 | Rep | Advising on futures contracts | 2004-11-24 | Rep | Advising on securities | 2004-11-24 | Rep | Asset management | 2004-11-24 | Rep | Dealing in futures contracts | 2009-04-30 | Rep | Dealing in securities | 2009-04-30 |
| 9 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-04-11 | 2009-04-30 |
| 10 | ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | Rep | Advising on securities | 2017-12-07 | 2018-02-05 | Rep | Asset management | 2017-12-07 | 2018-02-05 | Rep | Dealing in securities | 2017-12-07 | 2018-02-05 | RO | Advising on securities | 2018-02-05 | 2018-07-03 | RO | Asset management | 2018-02-05 | 2018-07-03 | RO | Dealing in securities | 2018-02-05 | 2018-07-03 |
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