Di Luo
羅迪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Di Luo (羅迪), a licensed former licensee with CE reference BHH206. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-11-29 | 2019-12-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2019-11-29 | 2019-12-05 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-08-16 | 2018-11-01 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2018-08-16 | 2018-11-01 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2018-08-16 | 2018-11-01 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-11 | 2017-07-28 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-11 | 2017-07-28 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2016-04-11 | 2017-07-28 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 9 - Asset management | 2016-04-11 | 2016-07-12 |