Lo, Rex Sui Yan 盧穗欣
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 | BEA Union Investment Management Limited | Rep | Advising on securities | 2014-06-24 | 2017-05-04 | Rep | Dealing in securities | 2014-06-24 | 2017-05-04 | RO | Advising on securities | 2017-05-04 | RO | Dealing in securities | 2017-05-04 |
| 2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2012-02-06 | 2012-05-28 |
| 3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2012-01-09 | 2012-05-28 |
| 4 | China Securities (International) Asset Management Company Limited | Rep | Asset management | 2013-09-24 | 2014-05-24 | RO | Advising on securities | 2014-04-14 | 2014-05-24 |
| 5 | China Securities (International) Brokerage Company Limited | RO | Advising on securities | 2013-04-24 | 2014-05-24 | RO | Dealing in securities | 2013-04-24 | 2014-05-24 |
| 6 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2010-11-20 | 2011-09-03 |
| 7 | DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED | Rep | Dealing in securities | 2010-11-02 | 2011-09-03 |
| 8 | KBC FINANCIAL PRODUCTS HONG KONG LIMITED | Rep | Advising on corporate finance | 2004-01-08 | Rep | Advising on securities | 2004-01-08 | Rep | Asset management | 2004-01-08 | Rep | Dealing in securities | 2007-03-02 | RO | Dealing in securities | 2007-03-02 | 2007-11-09 | Rep | Dealing in securities | 2007-11-09 | 2008-02-15 | RO | Dealing in securities | 2008-02-15 | 2010-11-20 |
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