SFC Licences of LU Ta-wen 陸大文
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RO | 9 | 19 September 2008 | 28 November 2008 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RO | 4 | 19 September 2008 | 28 November 2008 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RO | 1 | 19 September 2008 | 28 November 2008 |