Lu, Yan (SFC:ANR968) 盧燕
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2006-08-03 | 2007-08-09 | Rep | Advising on securities | 2006-08-03 | 2007-08-09 | Rep | Dealing in securities | 2006-08-03 | 2007-08-09 |
| 2 | GF Capital (Hong Kong) Limited | Rep | Advising on corporate finance | 2018-09-11 | 2019-01-14 | RO | Advising on corporate finance | 2019-01-14 | 2020-03-05 |
| 3 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2019-07-22 | 2020-03-05 |
| 4 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2012-06-07 | 2013-11-25 | RO | Advising on corporate finance | 2013-11-25 | 2016-12-18 | RO | Advising on corporate finance | 2016-12-19 | 2018-04-10 |
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