Lok, Paul Suen Hong 駱遜康
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 | Bright Smart Asset Management Limited | RO | Asset management | 2015-07-28 | 2017-04-26 | RO | Asset management | 2017-12-19 | 2022-09-22 |
| 2 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2015-05-12 | 2017-04-26 | Rep | Advising on securities | 2017-12-19 | 2022-09-22 | Rep | Dealing in securities | 2017-12-19 | 2022-09-22 |
| 3 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2012-05-31 | 2015-03-21 |
| 4 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-02-28 | 2012-05-24 |
| 5 | KGI ASIA LIMITED | Rep | Dealing in securities | 2011-01-11 | 2012-02-10 |
| 6 | Look's Securities Limited | RO | Dealing in securities | 2017-06-05 | 2017-12-13 |
| 7 | Safari Asia Limited | RO | Advising on securities | 2017-06-05 | 2017-12-13 | RO | Asset management | 2017-06-05 | 2017-12-13 |
| 8 | SOUTH CHINA RESEARCH LIMITED | Rep | Advising on securities | 2006-03-15 | 2008-07-06 |
| 9 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2006-03-15 | 2008-07-06 |
| 10 | TIANDA ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2022-12-20 | 2022-12-21 | Rep | Asset management | 2022-12-20 | 2022-12-21 | RO | Advising on securities | 2022-12-21 | RO | Asset management | 2022-12-21 |
| 11 | TIANDA SECURITIES LIMITED | Rep | Advising on securities | 2022-12-20 | 2022-12-21 | Rep | Dealing in securities | 2022-12-20 | 2022-12-21 | RO | Advising on securities | 2022-12-21 | RO | Dealing in securities | 2022-12-21 |
| 12 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Advising on securities | 2008-07-15 | 2011-01-06 | Rep | Dealing in securities | 2008-07-15 | 2011-01-06 | Rep | Asset management | 2008-08-25 | 2010-06-21 |
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