Lu, Xiaoxun 陸曉遜
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 Alpha Fund Management (HK) Limited | Rep | Advising on securities | 2012-11-05 | 2013-11-15 | Rep | Asset management | 2012-12-21 | 2013-11-15 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2003-11-03 | Rep | Advising on securities | 2003-11-03 | Rep | Asset management | 2003-11-03 |
| 3 | EXCEL INVESTMENT (HK) LIMITED | RO | Asset management | 2014-07-21 | 2017-02-24 |
| 4 | FIRST SHANGHAI FUTURES LIMITED | Rep | Advising on futures contracts | 2010-05-20 | 2012-10-31 |
| 5 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Advising on securities | 2009-12-11 | 2012-10-31 |
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