Wai Shum Luk
陸慧心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Shum Luk (陸慧心), a licensed former licensee with CE reference ABZ796. This person has 18.5 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 4 - Advising on securities | 2012-10-24 | 2020-01-20 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 9 - Asset management | 2012-10-24 | 2020-08-04 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-08-17 | 2021-09-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-08-17 | 2021-09-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2007-08-17 | 2021-09-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-08-01 | 2021-09-30 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2007-07-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Shum Luk during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.