Lu, Yan (SFC:ARH429) 陸彥
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 | BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2009-09-07 | 2011-02-19 | Rep | Dealing in securities | 2009-09-07 | 2011-02-19 |
| 2 | CSOP Asset Management Limited | Rep | Asset management | 2013-11-11 | 2017-12-11 | Rep | Advising on securities | 2013-11-11 | 2020-04-01 | RO | Asset management | 2017-12-11 | 2020-04-01 |
| 3 | E FUND MANAGEMENT (HONG KONG) CO., LIMITED | Rep | Advising on securities | 2011-02-22 | 2013-08-31 | Rep | Asset management | 2011-02-22 | 2013-08-31 |
| 4 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-07-09 | 2009-08-15 |
| 5 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2008-07-09 | 2009-08-15 |
| 6 | Jupiter Research Capital (Asia) Limited | Rep | Asset management | 2021-10-15 | 2021-11-23 | RO | Asset management | 2021-11-23 |
| 7 | Pandtong Quantitative Research Limited | RO | Advising on securities | 2021-02-18 | 2021-09-16 | RO | Asset management | 2021-02-18 | 2021-09-16 |
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