Siu Yin Luk
陸小燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yin Luk (陸小燕), a licensed former licensee with CE reference ADI465. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-05 | 2024-07-31 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-06-05 | 2019-05-31 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-02-13 | 2018-05-29 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-02-13 | 2018-05-29 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-04-18 | 2017-02-12 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-04-18 | 2017-02-12 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-05-13 | 2012-04-02 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-13 | 2012-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2009-01-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | present | 2009-01-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |