Wai Shum Luk
陸慧心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Shum Luk (陸慧心), a licensed former licensee with CE reference ABZ796. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 4 — Advising on securities | 2012-10-24 | 2020-01-20 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 9 — Asset management | 2012-10-24 | 2020-08-04 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-08-17 | 2021-09-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-08-17 | 2021-09-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2007-08-17 | 2021-09-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-08-01 | 2021-09-30 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 — Advising on securities | present | 2007-07-13 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-17 |