Ng, Lu Yan 吳露恩
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Advent Securities (Hong Kong) Limited | Rep | Dealing in securities | 2018-06-29 | 2018-08-13 | RO | Dealing in securities | 2018-08-13 | 2019-12-10 |
| 2 | Apollo Asset Management Limited (HK) | Rep | Asset management | 2015-08-11 | 2016-02-12 | Rep | Advising on securities | 2015-12-30 | 2016-02-12 |
| 3 | Changjiang Asset Management (HK) Limited | Rep | Advising on securities | 2012-09-07 | 2014-06-15 | Rep | Asset management | 2012-09-07 | 2014-06-15 |
| 4 | Changjiang Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2012-09-07 | 2014-06-15 |
| 5 | CUPOLA CAPITAL LIMITED | Rep | Advising on securities | 2016-03-03 | 2016-04-22 | Rep | Asset management | 2016-03-03 | 2016-09-05 | RO | Advising on securities | 2016-04-22 | 2017-08-01 | RO | Asset management | 2016-09-05 | 2017-08-01 |
| 6 | Everbright Securities Investment Services (HK) Limited | Rep | Advising on securities | 2011-11-07 | 2012-07-11 |
| 7 | FORMAX ASSET MANAGEMENT LIMITED | Rep | Asset management | 2014-06-27 | 2015-08-02 |
| 8 | OCI Asset Management Company Limited | Rep | Advising on securities | 2019-12-27 | 2020-01-08 | Rep | Asset management | 2019-12-27 | 2020-01-08 | RO | Advising on securities | 2020-01-08 | 2023-01-20 | RO | Asset management | 2020-01-08 | 2023-01-20 | RO | Dealing in securities | 2021-07-28 | 2023-01-20 |
| 9 | ROUNDHOUSE PARTNERS LTD | RO | Advising on securities | 2019-04-02 | 2019-12-10 | RO | Asset management | 2019-04-02 | 2019-12-10 |
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