SFC Licences of LUK Kuo Sheng, James 陸覺生

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

Institution	Role	Licences	Start date	End date
Barclays Capital Asia Limited 巴克萊亞洲有限公司	RE	2	27 February 2024
Barclays Capital Asia Limited 巴克萊亞洲有限公司	RE	1	27 February 2024
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	7	18 March 2021	03 August 2023
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司	RE	1	18 March 2021	03 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	2	18 March 2021	03 August 2023
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司	RE	1	18 March 2021	03 August 2023
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	2	22 August 2011	20 October 2020
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司	RE	1	22 August 2011	20 October 2020
Nomura Securities (Hong Kong) Limited	RE	2	22 August 2011	23 April 2013
Nomura Securities (Hong Kong) Limited	RE	1	22 August 2011	23 April 2013
Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司	RE	9	09 October 2010	06 August 2011
Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司	RE	4	09 October 2010	06 August 2011
Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司	RE	1	09 October 2010	06 August 2011