Lu, Steven Shiming 陸世銘
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2007-01-04 | 2008-05-05 | Rep | Dealing in securities | 2007-01-04 | 2008-05-05 |
| 2 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Advising on securities | 2013-11-01 | 2014-12-31 | Rep | Asset management | 2013-11-01 | 2014-12-31 | Rep | Dealing in securities | 2013-11-01 | 2014-12-31 |
| 3 | BlackRock Asset Management North Asia Limited | Rep | Asset management | 2013-11-01 | 2015-08-31 | Rep | Advising on corporate finance | 2013-11-01 | 2018-11-30 | Rep | Advising on securities | 2013-11-01 | 2018-11-30 | Rep | Dealing in securities | 2013-11-01 | 2018-11-30 |
| 4 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-02-13 | 2013-07-31 |
| 5 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2008-08-19 | 2013-07-31 | Rep | Advising on securities | 2012-08-15 | 2013-07-31 |
| 6 | Credit Suisse (Hong Kong) Limited | Rep | Advising on futures contracts | 2019-10-11 | 2023-03-10 | Rep | Advising on securities | 2019-10-11 | 2023-03-10 | Rep | Dealing in futures contracts | 2019-10-11 | 2023-03-10 | Rep | Dealing in securities | 2019-10-11 | 2023-03-10 |
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