Lo, Tin Po (SFC:ADN296) 羅天保
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 FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2004-07-14 | 2009-10-07 |
2 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2005-03-09 | 2009-10-07 |
3 | Cheng Chuang Fund Management Limited | RO | Advising on securities | 2019-11-08 | RO | Asset management | 2019-11-08 |
4 | CMBC ASSET MANAGEMENT COMPANY LIMITED | RO | Asset management | 2015-12-11 | 2016-10-31 |
5 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2010-08-20 | 2016-10-31 |
6 | CMBC SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-03-22 | 2011-05-16 | RO | Dealing in securities | 2011-05-16 | 2016-10-31 | RO | Advising on securities | 2011-10-26 | 2016-10-31 |
7 | Duo Asset Management Limited | RO | Asset management | 2017-04-06 | 2017-12-20 |
8 | FULBRIGHT FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-11-13 | 2010-03-06 |
9 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2009-11-13 | 2010-03-06 |
10 | GA (INT'L) CAPITAL MANAGEMENT LIMITED | Rep | Advising on securities | 2018-08-30 | 2018-09-14 | Rep | Asset management | 2018-08-30 | 2018-09-14 | RO | Advising on securities | 2018-09-14 | 2019-10-31 | RO | Asset management | 2018-09-14 | 2019-10-31 |
11 | HZ CAPITAL LIMITED (HK) | RO | Advising on futures contracts | 2018-01-31 | 2018-07-31 | RO | Advising on securities | 2018-01-31 | 2018-07-31 | RO | Asset management | 2018-01-31 | 2018-07-31 |
12 | SPS COMMODITIES LIMITED | Rep | Advising on futures contracts | 2004-05-19 | Rep | Asset management | 2004-05-19 | Rep | Dealing in futures contracts | 2004-05-19 |
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