Cindy Xingyi Lu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cindy Xingyi Lu, CE reference BRW897. Currently licensed at 1 firm(s): Oppenheimer Investments Asia Limited. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2023-01-13 | present |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2023-01-13 | present |
| China Chengtong (Hong Kong) Asset Management Company Limited 中國誠通(香港)資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-28 | 2022-11-17 |
| China Chengtong (Hong Kong) Asset Management Company Limited 中國誠通(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-28 | 2022-11-17 |
| China Chengtong (Hong Kong) Asset Management Company Limited 中國誠通(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-12-28 | 2022-11-17 |