Juan Luo
羅娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Juan Luo (羅娟), a licensed former licensee with CE reference AWQ261. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CEB International Asset Management Corporation Limited 光銀國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2024-01-09 | 2025-03-21 |
| CEB International Asset Management Corporation Limited 光銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2024-01-09 | 2025-03-21 |
| CEB International Asset Management Corporation Limited 光銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-01-09 | 2025-03-21 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-08-28 | 2022-07-22 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-08-28 | 2022-07-22 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-07-17 | 2016-09-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-07-17 | 2016-09-01 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-25 | 2015-07-02 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-11-25 | 2015-07-02 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-11-25 | 2015-07-02 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-25 | 2014-11-10 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-11-20 | 2014-11-10 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-13 | 2011-01-19 |