Lok, Siu Kee 駱兆基
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 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2010-09-21 | 2016-12-06 |
| 2 | CMBC SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2008-01-24 | 2016-12-06 | RO | Advising on securities | 2011-10-26 | 2016-12-06 |
| 3 | GRAND VIEW ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2017-07-11 | RO | Asset management | 2017-07-11 |
| 4 | GRAND VIEW SECURITIES LIMITED | RO | Dealing in securities | 2016-12-16 | |
| 5 | KWAI HUNG SECURITIES COMPANY LIMITED | Rep | Advising on corporate finance | 2003-04-24 | Rep | Advising on securities | 2003-04-24 | Rep | Asset management | 2003-04-24 | Rep | Dealing in securities | 2003-06-27 | RO | Dealing in securities | 2003-06-27 | 2007-12-01 |
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