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 |