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LUI Winnoc

呂韡諾
CE AOS682Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LUI Winnoc (CE number AOS682) is an individual licensed by the Hong Kong SFC. First licensed on 2007-03-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerKaison Asset Management (Hong Kong) Limited
佳盛資產管理(香港)有限公司

Licence Record (6)

2020-09-01 – present Current
Kaison Asset Management (Hong Kong) Limited RO
RA 4 RA 9
2018-09-26 – 2020-08-31
OP Investment Management Limited RO
RA 9
2017-09-12 – 2018-02-28
ICBC International Asset Management Limited Rep
RA 1 RA 4 RA 9
2016-01-07 – 2020-08-31
OP Investment Management Limited Rep
RA 4 RA 9
2010-01-04 – 2015-11-30
DNB Asset Management (Asia) Limited Rep
RA 9
2007-03-29 – 2009-12-31
MIB Securities (Hong Kong) Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AOS682