Lu (SFC:AYE980) Xu
徐璐
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lu (SFC:AYE980) Xu (徐璐), a licensed former licensee with CE reference AYE980. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CNCB (Hong Kong) Capital Limited 信銀(香港)資本有限公司 |
Rep | Type 1 — Dealing in securities | 2023-02-22 | 2023-11-19 |
| CNCB (Hong Kong) Capital Limited 信銀(香港)資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-02-22 | 2023-11-19 |
| CNCB (Hong Kong) Capital Limited 信銀(香港)資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-02-22 | 2023-11-19 |
| Zhongtai International Financial Products Limited 中泰國際金融產品有限公司 |
RO | Type 1 — Dealing in securities | 2021-08-26 | 2023-01-04 |
| Zhongtai International Financial Products Limited 中泰國際金融產品有限公司 |
Rep | Type 1 — Dealing in securities | 2019-04-30 | 2021-08-26 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-11-05 | 2017-05-05 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-10-08 | 2017-05-05 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 5 — Advising on futures contracts | 2015-10-08 | 2017-05-05 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-05-13 | 2015-10-02 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2015-05-13 | 2015-10-02 |
| Longrun Financial Group Limited 朗潤金融集團有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-28 | 2015-03-31 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 5 — Advising on futures contracts | 2012-04-12 | 2013-05-07 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-06 | 2013-05-07 |