Cosmas Yi-Hou Lu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cosmas Yi-Hou Lu ( ), a licensed former licensee with CE reference AHC600. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-03-08 | 2014-11-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2005-02-16 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | present | 2005-02-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 - Advising on futures contracts | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 - Asset management | present | 2003-10-13 |