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LUK Kuo Sheng, James

陸覺生
CE AWA383Licensed IndividualSFO licence active
Official SFC record

LUK Kuo Sheng, James (CE number AWA383) is an individual licensed by the Hong Kong SFC. First licensed on 2010-10-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeBarclays Capital Asia Limited
巴克萊亞洲有限公司

Licence Record (6)

2024-02-27 – present Current
Barclays Capital Asia Limited Rep
RA 1 RA 2
2021-03-18 – 2023-08-03
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2
2021-03-18 – 2023-08-03
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1 RA 7
2011-08-22 – 2020-10-20
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2
2011-08-22 – 2013-04-23
Nomura Securities (Hong Kong) Limited Rep
RA 1 RA 2
2010-10-09 – 2011-08-06
Mirae Asset Global Investments (Hong Kong) Limited Rep
RA 1 RA 4 RA 9

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/AWA383