Xiaoxun Lu
陸曉遜
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoxun Lu (陸曉遜), a licensed former licensee with CE reference AGB117. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Excel Investment (HK) Limited 卓滙投資(香港)有限公司 |
RO | Type 9 — Asset management | 2014-07-21 | 2017-02-24 |
| China Alpha Fund Management (HK) Limited 中國守正基金管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-12-21 | 2013-11-15 |
| China Alpha Fund Management (HK) Limited 中國守正基金管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-05 | 2013-11-15 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2010-05-20 | 2012-10-31 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-12-11 | 2012-10-31 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-03 |