Yan (SFC:ANR968) Lu
盧燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan (SFC:ANR968) Lu (盧燕), a licensed former licensee with CE reference ANR968. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-22 | 2020-03-05 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-01-14 | 2020-03-05 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-09-11 | 2019-01-14 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2016-12-19 | 2018-04-10 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2013-11-25 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2013-11-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-03 | 2007-08-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-08-03 | 2007-08-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-08-03 | 2007-08-09 |