Lok, Pui Yi 駱貝怡
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 | EXS Capital Asia Limited | Rep | Advising on corporate finance | 2014-04-03 | 2016-02-01 | Rep | Advising on securities | 2014-04-03 | 2016-02-01 | Rep | Asset management | 2014-04-03 | 2016-02-01 |
| 2 | Shang International Finance Limited | Rep | Advising on corporate finance | 2013-11-21 | 2014-01-05 | Rep | Advising on securities | 2013-11-21 | 2014-01-05 | Rep | Dealing in securities | 2013-11-21 | 2014-01-05 |
| 3 | TIANLI FINANCIAL LIMITED | Rep | Advising on securities | 2016-11-28 | 2018-05-21 | Rep | Asset management | 2016-11-28 | 2018-05-21 | RO | Advising on securities | 2018-05-21 | 2019-05-31 | RO | Asset management | 2018-05-21 | 2019-05-31 |
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