Siu Yin Luk
陸小燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yin Luk (陸小燕), a licensed former licensee with CE reference ADI465. This person has 19.9 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-05 | 2024-07-31 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-06-05 | 2019-05-31 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-02-13 | 2018-05-29 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-02-13 | 2018-05-29 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-04-18 | 2017-02-12 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-04-18 | 2017-02-12 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-05-13 | 2012-04-02 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-13 | 2012-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2009-01-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2009-01-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-01-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Yin 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.