Rong (SFC:ACB322) Lu
陸戎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rong (SFC:ACB322) Lu (陸戎), a licensed former licensee with CE reference ACB322. Total licence records on file: 27.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ascent Financial Partners Limited 安昇金融有限公司 |
RO | Type 1 — Dealing in securities | 2020-08-04 | 2022-11-14 |
| Ascent Financial Partners Limited 安昇金融有限公司 |
RO | Type 4 — Advising on securities | 2020-08-04 | 2024-12-31 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-14 | 2018-02-26 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-11-14 | 2018-12-31 |
| Target Capital Management Limited 泰達資產管理有限公司 |
RO | Type 9 — Asset management | 2017-11-14 | 2018-12-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 — Asset management | 2014-08-22 | 2017-04-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-08-05 | 2017-04-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-04-29 | 2017-04-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-04-29 | 2017-04-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2014-04-29 | 2017-04-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-31 | 2014-04-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-03-31 | 2014-04-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-31 | 2014-04-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2014-03-31 | 2014-08-22 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-03-19 | 2014-01-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-03-19 | 2014-01-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-03-19 | 2014-01-27 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2010-03-19 | 2014-01-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2010-03-19 | 2014-01-27 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-03-19 | 2014-01-27 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-30 | 2010-03-19 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2009-10-30 | 2014-01-27 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-25 | 2010-03-19 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-25 | 2010-03-19 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-07-25 | 2010-03-19 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-25 | 2010-03-19 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-07-25 | 2010-03-19 |