Dennis Kar Wong Lui
呂家煌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kar Wong Lui (呂家煌), a licensed Responsible Officer with CE reference AFM600. Currently licensed at 1 firm(s): Complus Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 34.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-30 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-03-30 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
RO | Type 9 — Asset management | 2022-12-09 | present |
| Complus Asset Management Limited 金栢資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-10-20 | 2022-12-09 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 1 — Dealing in securities | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 4 — Advising on securities | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
RO | Type 9 — Asset management | 2020-04-20 | 2021-09-28 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-24 | 2020-04-20 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 4 — Advising on securities | 2020-03-24 | 2020-04-20 |
| Harmony Advisors Limited 喜望利顧問有限公司 |
Rep | Type 9 — Asset management | 2020-03-24 | 2020-04-20 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-29 | 2020-02-29 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 4 — Advising on securities | 2019-01-29 | 2020-02-29 |
| China Railway & Aviation Securities Limited 中國鐵航證券有限公司 |
RO | Type 9 — Asset management | 2019-01-29 | 2020-02-29 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 4 — Advising on securities | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 9 — Asset management | 2018-02-05 | 2018-07-03 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-07 | 2018-02-05 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-12-07 | 2018-02-05 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
Rep | Type 9 — Asset management | 2017-12-07 | 2018-02-05 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-09-25 | 2017-06-07 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-10-18 | 2017-06-07 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-09 | 2011-10-18 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-11 | 2011-03-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-08-10 | 2011-03-01 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-04-11 | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-04-30 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-04-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-11-24 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-24 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-24 |