Luk, James Kuo Sheng 陸覺生
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 | 2024-02-27 | Rep | Dealing in securities | 2024-02-27 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2021-03-18 | 2023-08-03 | Rep | Dealing in securities | 2021-03-18 | 2023-08-03 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2021-03-18 | 2023-08-03 | Rep | Dealing in securities | 2021-03-18 | 2023-08-03 |
| 4 | MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED | Rep | Advising on securities | 2010-10-09 | 2011-08-06 | Rep | Asset management | 2010-10-09 | 2011-08-06 | Rep | Dealing in securities | 2010-10-09 | 2011-08-06 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-08-22 | 2020-10-20 | Rep | Dealing in securities | 2011-08-22 | 2020-10-20 |
| 6 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2011-08-22 | 2013-04-23 | Rep | Dealing in securities | 2011-08-22 | 2013-04-23 |
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