SFC Licences of LU Xiaoxun 陸曉遜
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Excel Investment (HK) Limited 卓滙投資(香港)有限公司 | RO | 9 | 21 July 2014 | 24 February 2017 |
| China Alpha Fund Management (HK) Limited 中國守正基金管理(香港)有限公司 | RE | 9 | 21 December 2012 | 15 November 2013 |
| China Alpha Fund Management (HK) Limited 中國守正基金管理(香港)有限公司 | RE | 4 | 05 November 2012 | 15 November 2013 |
| First Shanghai Futures Limited 第一上海期貨有限公司 | RE | 5 | 20 May 2010 | 31 October 2012 |
| First Shanghai Securities Limited 第一上海證券有限公司 | RE | 4 | 11 December 2009 | 31 October 2012 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 9 | 01 April 2003 | 03 November 2003 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 4 | 01 April 2003 | 03 November 2003 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 6 | 01 April 2003 | 03 November 2003 |