David Kwok Shing Lu
魯國城
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Kwok Shing Lu (魯國城), a licensed former licensee with CE reference ADF094. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
RO | Type 9 — Asset management | 2007-03-05 | 2008-01-15 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 4 — Advising on securities | 2006-10-26 | 2008-01-15 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 9 — Asset management | 2006-10-26 | 2007-03-05 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2003-04-05 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2003-04-05 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-04-05 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-04-05 |