Simon Luk
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Luk (陸東全), a licensed Responsible Officer with CE reference AAV295. Currently licensed at 1 firm(s): Lucky Guosheng Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 22.0 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
RO | Type 1 - Dealing in securities | 2023-12-01 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
RO | Type 4 - Advising on securities | 2022-07-15 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
RO | Type 9 - Asset management | 2020-09-23 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-02-22 | 2023-12-01 |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
RO | Type 4 - Advising on securities | 2020-09-23 | 2021-03-23 |
| Thoth Investment Management Limited 慧文投資管理有限公司 |
RO | Type 9 - Asset management | 2016-11-22 | 2020-09-14 |
| W. Falcon Asset Management (Asia) Limited 年興行資產管理(亞洲)有限公司 |
RO | Type 9 - Asset management | 2014-07-17 | 2016-11-12 |
| Capital Focus Asset Management Limited 匯駿資產管理有限公司 |
RO | Type 9 - Asset management | 2011-02-28 | 2013-11-13 |
| Capital Focus Asset Management Limited 匯駿資產管理有限公司 |
Rep | Type 9 - Asset management | 2010-10-07 | 2011-02-28 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
RO | Type 9 - Asset management | 2007-06-12 | 2010-07-21 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
RO | Type 4 - Advising on securities | 2005-12-09 | 2010-07-21 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
Rep | Type 4 - Advising on securities | 2004-09-20 | 2005-12-09 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
Rep | Type 9 - Asset management | 2004-09-20 | 2005-12-07 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
RO | Type 4 - Advising on securities | 2003-09-17 | 2004-09-20 |
| Money Concepts (Asia) Limited 美國萬利理財有限公司 |
RO | Type 9 - Asset management | 2003-09-17 | 2004-09-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Simon Luk during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.