SFC Licences of LU Steven Shiming 陸世銘

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

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 5 11 October 2019 10 March 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 11 October 2019 10 March 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 2 11 October 2019 10 March 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 11 October 2019 10 March 2023
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 6 01 November 2013 30 November 2018
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 4 01 November 2013 30 November 2018
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 1 01 November 2013 30 November 2018
BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 RE 9 01 November 2013 31 August 2015
BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 RE 9 01 November 2013 31 December 2014
BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 RE 4 01 November 2013 31 December 2014
BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 RE 1 01 November 2013 31 December 2014
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 4 15 August 2012 31 July 2013
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 RE 2 13 February 2012 31 July 2013
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 19 August 2008 31 July 2013
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 2 04 January 2007 05 May 2008
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 1 04 January 2007 05 May 2008