Chao (SFC:ARI980) Lu
陸超
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chao (SFC:ARI980) Lu (陸超), a licensed former licensee with CE reference ARI980. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-05-28 | 2021-03-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-12-12 | 2021-03-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-12-12 | 2018-05-28 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-06-21 | 2013-11-11 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-08-24 | 2013-11-11 |
| AIF Capital Limited 殷庫資本有限公司 |
Rep | Type 4 — Advising on securities | 2009-11-20 | 2011-06-17 |
| AIF Capital Limited 殷庫資本有限公司 |
Rep | Type 9 — Asset management | 2009-11-20 | 2011-06-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-23 | 2009-08-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-07-23 | 2009-08-17 |