Luk, Siu Yin 陸小燕
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ICBC INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-05-13 | 2012-04-02 |
| 2 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2010-05-13 | 2012-04-02 |
| 3 | KGI ASIA LIMITED | Rep | Dealing in securities | 2018-06-05 | |
| 4 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-06-05 | 2019-05-31 |
| 5 | Merrill Lynch (Asia Pacific) Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Automated trading services | 2005-03-23 | Rep | Dealing in securities | 2009-01-01 |
| 6 | Merrill Lynch Far East Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Dealing in securities | 2005-03-23 |
| 7 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2005-01-25 | Rep | Asset management | 2005-01-25 | Rep | Automated trading services | 2005-01-25 | Rep | Dealing in futures contracts | 2009-01-01 |
| 8 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2017-02-13 | 2018-05-29 | Rep | Dealing in securities | 2017-02-13 | 2018-05-29 |
| 9 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2012-04-18 | 2017-02-12 |
| 10 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2012-04-18 | 2017-02-12 |
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