Lok, Chiu Chan 駱昭塵
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 | ASA SECURITIES LIMITED | Rep | Advising on securities | 2013-04-22 | 2013-09-30 | Rep | Dealing in futures contracts | 2013-04-22 | 2013-09-30 | Rep | Dealing in securities | 2013-04-22 | 2013-09-30 |
| 2 | Mason Futures Limited (HK) | Rep | Dealing in futures contracts | 2013-10-09 | 2016-10-31 |
| 3 | Mason Securities Limited | Rep | Advising on securities | 2013-10-09 | 2016-10-31 | Rep | Dealing in securities | 2013-10-09 | 2016-10-31 |
| 4 | RuiLian Financial Group Company Limited | Rep | Advising on securities | 2020-03-18 | 2020-04-17 | Rep | Asset management | 2020-03-18 | 2020-04-17 | Rep | Dealing in securities | 2020-03-18 | 2020-04-17 | RO | Advising on securities | 2020-04-17 | RO | Asset management | 2020-04-17 | RO | Dealing in securities | 2020-04-17 |
| 5 | Superactive Financial Group Company Limited | Rep | Advising on futures contracts | 2016-11-09 | 2016-12-12 | Rep | Advising on securities | 2016-11-09 | 2016-12-12 | Rep | Asset management | 2016-11-09 | 2016-12-12 | RO | Advising on futures contracts | 2016-12-12 | 2019-12-31 | RO | Advising on securities | 2016-12-12 | 2019-12-31 | RO | Asset management | 2016-12-12 | 2019-12-31 | RO | Dealing in securities | 2018-06-08 | 2019-12-31 |
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