Lok, Helen Hoi Yan 樂海恩
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 | BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-03 | Rep | Asset management | 2004-02-03 | Rep | Dealing in futures contracts | 2004-12-11 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-02-03 | Rep | Advising on securities | 2004-02-03 | Rep | Asset management | 2004-02-03 | Rep | Dealing in securities | 2004-12-11 |
| 3 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-07-13 | 2009-03-07 |
| 4 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2005-07-13 | 2009-03-07 | Rep | Dealing in futures contracts | 2005-10-24 | 2009-03-07 |
| 5 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-12-13 | 2005-07-13 |
| 6 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-12-13 | 2005-07-13 |
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