Carolyn Anne Lu
陸舜華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carolyn Anne Lu (陸舜華), a licensed former licensee with CE reference ADT848. This person has 5.2 years of SFC licence history. Total licence records on file: 19.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-08-14 | 2008-10-02 |
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2006-08-30 | 2008-10-02 |
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2006-08-30 | 2008-10-02 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 1 - Dealing in securities | 2005-10-31 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 - Asset management | 2005-01-18 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 - Asset management | 2005-01-18 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 - Dealing in securities | 2004-08-27 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 - Advising on securities | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 - Advising on securities | 2004-08-27 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 5 - Advising on futures contracts | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 5 - Advising on futures contracts | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-08-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-27 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-05-10 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-10 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-10 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-10 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carolyn Anne Lu 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.