Lu, Yao (SFC:AVR232) 陸遙
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on securities | 2010-08-17 | 2016-04-22 | Rep | Dealing in securities | 2010-08-17 | 2016-04-22 |
| 2 | HARVEST GLOBAL INVESTMENTS LIMITED | Rep | Advising on securities | 2016-07-19 | 2016-09-09 | Rep | Asset management | 2016-07-19 | 2016-09-09 |
| 3 | Moody's Investors Service Hong Kong Limited | Rep | Credit rating services | 2018-10-12 | 2019-07-26 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2016-10-19 | 2018-08-17 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2016-10-19 | 2018-08-17 |
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