James Kuo Sheng Luk
陸覺生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kuo Sheng Luk (陸覺生), a licensed Representative with CE reference AWA383. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 13.
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 | 2024-02-27 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-02-27 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-03-18 | 2023-08-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-03-18 | 2023-08-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-03-18 | 2023-08-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2021-03-18 | 2023-08-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-22 | 2020-10-20 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-08-22 | 2013-04-23 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-08-22 | 2020-10-20 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-08-22 | 2013-04-23 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-09 | 2011-08-06 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-09 | 2011-08-06 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-10-09 | 2011-08-06 |