Lo, Karen Ka-Wai 盧嘉慧
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 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2004-02-25 | 2007-03-02 |
| 2 | DWS Investments Hong Kong Limited | Rep | Advising on securities | 2008-05-26 | 2009-06-02 | Rep | Dealing in securities | 2008-05-26 | 2009-06-02 |
| 3 | HARVEST GLOBAL INVESTMENTS LIMITED | Rep | Advising on securities | 2009-06-26 | 2009-07-30 | Rep | Asset management | 2009-07-28 | 2009-07-30 |
| 4 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2015-12-10 | 2019-02-15 | Rep | Dealing in securities | 2015-12-10 | 2019-02-15 |
| 5 | MUFG Securities Asia Limited | Rep | Dealing in securities | 2019-03-25 | 2020-03-12 | RO | Advising on securities | 2020-03-12 | RO | Dealing in securities | 2020-03-12 | Rep | Dealing in futures contracts | 2022-09-23 |
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