David Lui
雷昌年
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Lui (雷昌年), a licensed former licensee with CE reference ABJ630. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| VMS Securities Limited 鼎珮證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-05-10 | 2015-01-02 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-04 | 2015-01-02 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 9 — Asset management | 2011-05-04 | 2015-01-02 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2007-05-04 | 2011-04-16 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-04-06 | 2011-04-16 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2007-10-08 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-30 |