SFC Licences of LUI Kar Wong, Dennis 呂家煌

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

Institution	Role	Licences	Start date	End date
Complus Asset Management Limited 金栢資產管理有限公司	RO	4	30 March 2023
Complus Asset Management Limited 金栢資產管理有限公司	RO	1	30 March 2023
Complus Asset Management Limited 金栢資產管理有限公司	RO	9	09 December 2022
Complus Asset Management Limited 金栢資產管理有限公司	RE	9	20 October 2021	09 December 2022
Harmony Advisors Limited 喜望利顧問有限公司	RO	9	20 April 2020	28 September 2021
Harmony Advisors Limited 喜望利顧問有限公司	RO	4	20 April 2020	28 September 2021
Harmony Advisors Limited 喜望利顧問有限公司	RO	1	20 April 2020	28 September 2021
Harmony Advisors Limited 喜望利顧問有限公司	RE	9	24 March 2020	20 April 2020
Harmony Advisors Limited 喜望利顧問有限公司	RE	4	24 March 2020	20 April 2020
Harmony Advisors Limited 喜望利顧問有限公司	RE	1	24 March 2020	20 April 2020
China Zhong Sheng Securities Limited 中國中盛證券有限公司	RO	9	29 January 2019	29 February 2020
China Zhong Sheng Securities Limited 中國中盛證券有限公司	RO	4	29 January 2019	29 February 2020
China Zhong Sheng Securities Limited 中國中盛證券有限公司	RO	1	29 January 2019	29 February 2020
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	9	05 February 2018	03 July 2018
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	4	05 February 2018	03 July 2018
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	1	05 February 2018	03 July 2018
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RE	9	07 December 2017	05 February 2018
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RE	4	07 December 2017	05 February 2018
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RE	1	07 December 2017	05 February 2018
China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司	RE	2	25 September 2012	07 June 2017
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RO	1	18 October 2011	07 June 2017
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	1	09 June 2011	18 October 2011
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司	RE	4	11 September 2009	01 March 2011
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司	RE	1	10 August 2009	01 March 2011
Nomura Securities (Hong Kong) Limited	RE	1	11 April 2008	30 April 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	01 April 2003	30 April 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	2	01 April 2003	30 April 2009
Nomura Futures (Hong Kong) Limited	RE	2	01 April 2003	30 April 2009
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	5	01 April 2003	24 November 2004
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	6	01 April 2003	24 November 2004
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	9	01 April 2003	24 November 2004
Nomura Futures (Hong Kong) Limited	RE	5	01 April 2003	24 November 2004
Nomura Futures (Hong Kong) Limited	RE	9	01 April 2003	24 November 2004
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	4	01 April 2003	24 November 2004