Carolyn Anne Lu
陸舜華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carolyn Anne Lu (陸舜華), a licensed former licensee with CE reference ADT848. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-08-14 | 2008-10-02 |
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-08-30 | 2008-10-02 |
| SG Asset Management (Hong Kong) Limited 法國興業資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2006-08-30 | 2008-10-02 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2005-10-31 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 9 — Asset management | 2005-01-18 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 9 — Asset management | 2005-01-18 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 1 — Dealing in securities | 2004-08-27 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 4 — Advising on securities | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 4 — Advising on securities | 2004-08-27 | 2006-05-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
RO | Type 5 — Advising on futures contracts | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
RO | Type 5 — Advising on futures contracts | 2004-08-27 | 2006-05-01 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | present | 2004-08-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-27 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-08-27 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-05-10 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-10 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-10 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-10 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-05-10 |