SFC licenceholder AAQ340 LUK Wai Jong, Anita 陸懷莊

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 22 September 2020

Institution Role Licences Start date End date
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 RE [1] (Dealing in Securities) 05 August 2009
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 05 August 2009
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE [1] (Dealing in Securities) 25 August 2003 28 July 2009
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 25 August 2003 28 July 2009
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RE [1] (Dealing in Securities) 01 April 2003 25 August 2003
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 01 April 2003 25 August 2003
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [7] (Providing Automated Trading Services), [9] (Asset Management) 01 April 2003 22 August 2003
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 RE [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services), [9] (Asset Management) 01 April 2003 22 August 2003