Dennis Kar Wong Lui
呂家煌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kar Wong Lui (呂家煌), a licensed Responsible Officer with CE reference AFM600. Currently licensed at 1 firm(s): Complus Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 21.5 years of SFC licence history. Total licence records on file: 34.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2023-03-30 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 4 - Advising on securities | 2023-03-30 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 9 - Asset management | 2022-12-09 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-10-20 | 2022-12-09 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 1 - Dealing in securities | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 4 - Advising on securities | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 9 - Asset management | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 1 - Dealing in securities | 2020-03-24 | 2020-04-20 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 4 - Advising on securities | 2020-03-24 | 2020-04-20 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 9 - Asset management | 2020-03-24 | 2020-04-20 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-01-29 | 2020-02-29 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 4 - Advising on securities | 2019-01-29 | 2020-02-29 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 9 - Asset management | 2019-01-29 | 2020-02-29 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 1 - Dealing in securities | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 4 - Advising on securities | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 9 - Asset management | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 1 - Dealing in securities | 2017-12-07 | 2018-02-05 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 4 - Advising on securities | 2017-12-07 | 2018-02-05 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 9 - Asset management | 2017-12-07 | 2018-02-05 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-09-25 | 2017-06-07 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2011-10-18 | 2017-06-07 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-09 | 2011-10-18 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2009-09-11 | 2011-03-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-08-10 | 2011-03-01 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-04-11 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-04-30 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-11-24 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-11-24 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-11-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Dennis Kar Wong Lui 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.