Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

LU Gonglu

鲁公路
CE BQO308Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LU Gonglu (CE number BQO308) is an individual licensed by the Hong Kong SFC. First licensed on 2022-06-23. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerChina Merchants Securities (HK) Co., Limited
招商證券(香港)有限公司
Responsible OfficerCMS Capital (HK) Co., Limited
招商資本(香港)有限公司

Licence Record (7)

2023-11-01 – present Current
CMS Capital (HK) Co., Limited RO
RA 4 RA 9
2022-06-23 – present Current
China Merchants Securities (HK) Co., Limited RO
RA 1 RA 2 RA 4 RA 6 RA 9
2022-06-23 – 2022-06-23
China Merchants Securities (HK) Co., Limited Rep
RA 1 RA 2 RA 4 RA 6 RA 9
2022-06-23 – 2022-06-23
China Merchants Futures (HK) Co., Limited Rep
RA 2 RA 5
2022-06-23 – 2022-06-23
CMS Asset Management (HK) Co., Limited Rep
RA 4 RA 9
2022-06-23 – 2023-06-08
China Merchants Futures (HK) Co., Limited RO
RA 2 RA 5
2022-06-23 – 2023-06-08
CMS Asset Management (HK) Co., Limited RO
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/BQO308