Lu Yan Ng
吳露恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lu Yan Ng (吳露恩), a licensed former licensee with CE reference AYG297. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-28 | 2023-01-20 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-01-08 | 2023-01-20 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 9 — Asset management | 2020-01-08 | 2023-01-20 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-12-27 | 2020-01-08 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-12-27 | 2020-01-08 |
| Space Asset Management Limited 恆宇資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-04-02 | 2019-12-10 |
| Space Asset Management Limited 恆宇資產管理有限公司 |
RO | Type 9 — Asset management | 2019-04-02 | 2019-12-10 |
| Advent Securities (Hong Kong) Limited 宏智證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-13 | 2019-12-10 |
| Advent Securities (Hong Kong) Limited 宏智證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-29 | 2018-08-13 |
| Cupola Capital Limited | RO | Type 9 — Asset management | 2016-09-05 | 2017-08-01 |
| Cupola Capital Limited | RO | Type 4 — Advising on securities | 2016-04-22 | 2017-08-01 |
| Cupola Capital Limited | Rep | Type 4 — Advising on securities | 2016-03-03 | 2016-04-22 |
| Cupola Capital Limited | Rep | Type 9 — Asset management | 2016-03-03 | 2016-09-05 |
| Apollo Asset Management Limited 太陽神資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-12-30 | 2016-02-12 |
| Apollo Asset Management Limited 太陽神資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-08-11 | 2016-02-12 |
| Formax Asset Management Limited 福億資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-06-27 | 2015-08-02 |
| Changjiang Securities Brokerage (HK) Limited 長江證券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-09-07 | 2014-06-15 |
| Changjiang Asset Management (HK) Limited 長江證券資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-09-07 | 2014-06-15 |
| Changjiang Asset Management (HK) Limited 長江證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-09-07 | 2014-06-15 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2011-11-07 | 2012-07-11 |