SFC Licences of LU Gloria Yi 陸奕

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

Institution Role Licences Start date End date
Parantoux Capital Limited 藍藤資本有限公司 RO 9 01 September 2016
CR Wealth and Asset Management Limited 華興財富資產管理有限公司 RO 9 03 February 2016 01 May 2016
Fountainhead Partners Company Limited 弘源資本有限公司 RO 9 12 October 2015 03 February 2016
Fountainhead Partners Company Limited 弘源資本有限公司 RO 4 12 October 2015 03 February 2016
Fountainhead Partners Company Limited 弘源資本有限公司 RO 1 12 October 2015 03 February 2016
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 RO 4 13 October 2014 01 May 2016
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 RO 1 13 October 2014 01 May 2016
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 RE 4 01 September 2014 13 October 2014
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 RE 1 01 September 2014 13 October 2014
Head & Shoulders Asset Management Limited 聯合資產管理有限公司 RO 9 31 March 2014 22 August 2014
Head & Shoulders Securities Limited 聯合證券有限公司 RO 4 31 March 2014 22 August 2014
Head & Shoulders Securities Limited 聯合證券有限公司 RE 1 13 March 2014 22 August 2014
Head & Shoulders Asset Management Limited 聯合資產管理有限公司 RE 9 13 March 2014 31 March 2014
Head & Shoulders Securities Limited 聯合證券有限公司 RE 4 13 March 2014 31 March 2014
Bond Trust Limited 中盛証券 RO 9 29 October 2013 10 March 2014
Bond Trust Limited 中盛証券 RO 4 29 October 2013 10 March 2014
Bond Trust Limited 中盛証券 RE 9 24 September 2013 29 October 2013
Bond Trust Limited 中盛証券 RE 4 24 September 2013 29 October 2013
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RO 9 06 September 2011 05 September 2013
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RO 4 06 September 2011 05 September 2013
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RE 9 06 July 2011 06 September 2011
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RE 4 06 July 2011 06 September 2011
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RO 9 25 October 2010 25 April 2011
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RO 4 25 October 2010 25 April 2011
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RE 9 20 September 2010 25 October 2010
China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 RE 4 20 September 2010 25 October 2010
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 9 04 March 2010 12 May 2010
BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 RE 1 04 March 2010 12 May 2010
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 4 24 September 2009 12 May 2010
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 4 02 February 2004 01 August 2007
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 6 17 September 2003 08 January 2004
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 1 03 June 2003 01 August 2007
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 01 April 2003 03 May 2003
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 4 01 April 2003 03 May 2003
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 6 01 April 2003 03 May 2003
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 9 01 April 2003 03 May 2003