Lu, Gloria Yi 陸奕

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Parantoux Capital Limited	RO	Asset management	2016-09-01	-
CR Wealth and Asset Management Limited	RO	Asset management	2016-02-03	2016-05-01
Fountainhead Partners Company Limited	RO	Advising on securities	2015-10-12	2016-02-03
	RO	Asset management	2015-10-12	2016-02-03
	RO	Dealing in securities	2015-10-12	2016-02-03
China Renaissance Securities (Hong Kong) Limited	RO	Advising on securities	2014-10-13	2016-05-01
	RO	Dealing in securities	2014-10-13	2016-05-01
	Rep	Advising on securities	2014-09-01	2014-10-13
	Rep	Dealing in securities	2014-09-01	2014-10-13
HEAD & SHOULDERS ASSET MANAGEMENT LIMITED	RO	Asset management	2014-03-31	2014-08-22
Mage Securities Limited	RO	Advising on securities	2014-03-31	2014-08-22
HEAD & SHOULDERS ASSET MANAGEMENT LIMITED	Rep	Asset management	2014-03-13	2014-03-31
Mage Securities Limited	Rep	Advising on securities	2014-03-13	2014-03-31
	Rep	Dealing in securities	2014-03-13	2014-08-22
BOND TRUST LIMITED	RO	Advising on securities	2013-10-29	2014-03-10
	RO	Asset management	2013-10-29	2014-03-10
	Rep	Advising on securities	2013-09-24	2013-10-29
	Rep	Asset management	2013-09-24	2013-10-29
CHINA LIFE FRANKLIN ASSET MANAGEMENT CO., LIMITED	RO	Advising on securities	2011-09-06	2013-09-05
	RO	Asset management	2011-09-06	2013-09-05
	Rep	Advising on securities	2011-07-06	2011-09-06
	Rep	Asset management	2011-07-06	2011-09-06
	RO	Advising on securities	2010-10-25	2011-04-25
	RO	Asset management	2010-10-25	2011-04-25
	Rep	Advising on securities	2010-09-20	2010-10-25
	Rep	Asset management	2010-09-20	2010-10-25
BLACKROCK (HONG KONG) LIMITED	Rep	Dealing in securities	2010-03-04	2010-05-12
BlackRock Asset Management North Asia Limited	Rep	Asset management	2010-03-04	2010-05-12
	Rep	Advising on securities	2009-09-24	2010-05-12
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on securities	2004-02-02	2007-08-01
	Rep	Advising on corporate finance	2003-09-17	2004-01-08
	Rep	Dealing in securities	2003-06-03	2007-08-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-05-03
	Rep	Advising on securities	2003-04-01	2003-05-03
	Rep	Asset management	2003-04-01	2003-05-03
	Rep	Dealing in securities	2003-04-01	2003-05-03

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.