Lui, Tak Yan 呂德仁
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 | CNI GLOBAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2004-04-13 | 2005-07-29 |
2 | Dongxing Securities (Hong Kong) Company Limited | RO | Advising on corporate finance | 2016-02-23 | 2023-02-28 | RO | Dealing in securities | 2016-02-23 | 2023-02-28 |
3 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2014-02-28 | 2014-05-12 | Rep | Dealing in securities | 2014-02-28 | 2014-05-12 | RO | Advising on corporate finance | 2014-05-12 | 2014-12-15 | RO | Dealing in securities | 2014-05-12 | 2014-12-15 |
4 | ICBC INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2009-04-09 | 2011-04-14 | Rep | Dealing in securities | 2009-04-09 | 2011-04-14 | RO | Advising on corporate finance | 2011-04-14 | 2012-07-31 | RO | Dealing in securities | 2011-04-14 | 2012-07-31 |
5 | ICBC INTERNATIONAL SECURITIES LIMITED | RO | Dealing in securities | 2012-02-15 | 2012-07-31 |
6 | ICEA CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2007-05-02 | 2008-09-30 |
7 | ICEA CAPITAL LIMITED | Rep | Advising on corporate finance | 2006-01-06 | 2009-04-01 | Rep | Dealing in securities | 2006-01-18 | 2009-04-01 |
8 | Optima Capital Limited | Rep | Advising on corporate finance | 2005-08-08 | 2005-12-20 |
9 | RaffAello Capital Limited | Rep | Advising on corporate finance | 2012-09-01 | 2012-09-27 | RO | Advising on corporate finance | 2012-09-27 | 2014-02-21 |
10 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Advising on corporate finance | 2015-01-06 | 2015-01-16 | Rep | Dealing in securities | 2015-01-06 | 2015-01-16 | RO | Advising on corporate finance | 2015-01-16 | 2015-12-16 | RO | Dealing in securities | 2015-01-16 | 2015-12-16 |
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