Ta-Wen Lu
陸大文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ta-Wen Lu (陸大文), a licensed former licensee with CE reference ABI262. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2008-09-19 | 2008-11-28 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-09-19 | 2008-11-28 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 9 — Asset management | 2008-09-19 | 2008-11-28 |