Gloria Yi Lu
陸奕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gloria Yi Lu (陸奕), a licensed Responsible Officer with CE reference ADA784. Currently licensed at 1 firm(s): Parantoux Capital Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 36.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Parantoux Capital Limited 藍藤資本有限公司 |
RO | Type 9 — Asset management | 2016-09-01 | present |
| CR Wealth and Asset Management Limited 華興財富資產管理有限公司 |
RO | Type 9 — Asset management | 2016-02-03 | 2016-05-01 |
| Fountainhead Partners Company Limited 弘源資本有限公司 |
RO | Type 1 — Dealing in securities | 2015-10-12 | 2016-02-03 |
| Fountainhead Partners Company Limited 弘源資本有限公司 |
RO | Type 4 — Advising on securities | 2015-10-12 | 2016-02-03 |
| Fountainhead Partners Company Limited 弘源資本有限公司 |
RO | Type 9 — Asset management | 2015-10-12 | 2016-02-03 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-13 | 2016-05-01 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2014-10-13 | 2016-05-01 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-01 | 2014-10-13 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-01 | 2014-10-13 |
| Mage Securities Limited 明璣證券有限公司 |
RO | Type 4 — Advising on securities | 2014-03-31 | 2014-08-22 |
| Head & Shoulders Asset Management Limited 聯合資產管理有限公司 |
RO | Type 9 — Asset management | 2014-03-31 | 2014-08-22 |
| Mage Securities Limited 明璣證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-13 | 2014-08-22 |
| Mage Securities Limited 明璣證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-13 | 2014-03-31 |
| Head & Shoulders Asset Management Limited 聯合資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-03-13 | 2014-03-31 |
| Bond Trust Limited 中盛証券 |
RO | Type 4 — Advising on securities | 2013-10-29 | 2014-03-10 |
| Bond Trust Limited 中盛証券 |
RO | Type 9 — Asset management | 2013-10-29 | 2014-03-10 |
| Bond Trust Limited 中盛証券 |
Rep | Type 4 — Advising on securities | 2013-09-24 | 2013-10-29 |
| Bond Trust Limited 中盛証券 |
Rep | Type 9 — Asset management | 2013-09-24 | 2013-10-29 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
RO | Type 4 — Advising on securities | 2011-09-06 | 2013-09-05 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
RO | Type 9 — Asset management | 2011-09-06 | 2013-09-05 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-06 | 2011-09-06 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-07-06 | 2011-09-06 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
RO | Type 4 — Advising on securities | 2010-10-25 | 2011-04-25 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
RO | Type 9 — Asset management | 2010-10-25 | 2011-04-25 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-20 | 2010-10-25 |
| China Life Franklin Asset Management Co., Limited 中國人壽富蘭克林資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-09-20 | 2010-10-25 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-04 | 2010-05-12 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 — Asset management | 2010-03-04 | 2010-05-12 |
| 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 | 2009-09-24 | 2010-05-12 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-02-02 | 2007-08-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-09-17 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-06-03 | 2007-08-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-03 |