SFC Licences of LU Yan 盧燕
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 | RE | 1 | 22 July 2019 | 05 March 2020 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 | RO | 6 | 14 January 2019 | 05 March 2020 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 | RE | 6 | 11 September 2018 | 14 January 2019 |
| UBS Securities Hong Kong Limited | RO | 6 | 19 December 2016 | 10 April 2018 |
| UBS Securities Hong Kong Limited | RO | 6 | 25 November 2013 | 18 December 2016 |
| UBS Securities Hong Kong Limited | RE | 6 | 07 June 2012 | 25 November 2013 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 4 | 03 August 2006 | 09 August 2007 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 03 August 2006 | 09 August 2007 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 6 | 03 August 2006 | 09 August 2007 |