SFC Licences of LUI Tak Yan 呂德仁

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

Institution	Role	Licences	Start date	End date
Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司	RO	6	23 February 2016	28 February 2023
Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司	RO	1	23 February 2016	28 February 2023
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RO	6	16 January 2015	16 December 2015
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RO	1	16 January 2015	16 December 2015
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RE	6	06 January 2015	16 January 2015
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RE	1	06 January 2015	16 January 2015
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司	RO	6	12 May 2014	15 December 2014
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司	RO	1	12 May 2014	15 December 2014
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司	RE	6	28 February 2014	12 May 2014
Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司	RE	1	28 February 2014	12 May 2014
RaffAello Capital Limited	RO	6	27 September 2012	21 February 2014
RaffAello Capital Limited	RE	6	01 September 2012	27 September 2012
ICBC International Securities Limited 工銀國際證券有限公司	RO	1	15 February 2012	31 July 2012
ICBC International Capital Limited 工銀國際融資有限公司	RO	6	14 April 2011	31 July 2012
ICBC International Capital Limited 工銀國際融資有限公司	RO	1	14 April 2011	31 July 2012
ICBC International Capital Limited 工銀國際融資有限公司	RE	6	09 April 2009	14 April 2011
ICBC International Capital Limited 工銀國際融資有限公司	RE	1	09 April 2009	14 April 2011
ICEA Capital Asia Limited 工商東亞融資亞洲有限公司	RE	6	02 May 2007	30 September 2008
ICEA Capital Limited 工商東亞融資有限公司	RE	1	18 January 2006	01 April 2009
ICEA Capital Limited 工商東亞融資有限公司	RE	6	06 January 2006	01 April 2009
Optima Capital Limited 創越融資有限公司	RE	6	08 August 2005	20 December 2005
CNI Global Capital Limited 中國北方環球資本有限公司	RE	6	13 April 2004	29 July 2005