Tak Yan Lui
呂德仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tak Yan Lui (呂德仁), a licensed former licensee with CE reference AJO142. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-02-23 | 2023-02-28 |
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-02-23 | 2023-02-28 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2015-01-16 | 2015-12-16 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-01-16 | 2015-12-16 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-06 | 2015-01-16 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-01-06 | 2015-01-16 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2014-05-12 | 2014-12-15 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-05-12 | 2014-12-15 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-28 | 2014-05-12 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-02-28 | 2014-05-12 |
| RaffAello Capital Limited | RO | Type 6 — Advising on corporate finance | 2012-09-27 | 2014-02-21 |
| RaffAello Capital Limited | Rep | Type 6 — Advising on corporate finance | 2012-09-01 | 2012-09-27 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-15 | 2012-07-31 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-04-14 | 2012-07-31 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-04-14 | 2012-07-31 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-09 | 2011-04-14 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-04-09 | 2011-04-14 |
| ICEA Capital Asia Limited 工商東亞融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-02 | 2008-09-30 |
| ICEA Capital Limited 工商東亞融資有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-18 | 2009-04-01 |
| ICEA Capital Limited 工商東亞融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-01-06 | 2009-04-01 |
| Optima Capital Limited 創越融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-08-08 | 2005-12-20 |
| CNI Global Capital Limited 中國北方環球資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-04-13 | 2005-07-29 |