Si, Joanna Ka Loy 徐嘉來
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 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-05-11 | |
| 2 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-05-11 | |
| 3 | DELTA ASIA SECURITIES LIMITED | Rep | Asset management | 2004-05-11 | |
| 4 | DELTA ASIA SECURITIES LIMITED | Rep | Automated trading services | 2003-11-07 | |
| 5 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2006-05-12 | |
| 6 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2006-06-13 | 2007-10-04 |
| 7 | Nerico Brothers Limited (HK) | Rep | Dealing in securities | 2007-10-16 | 2009-03-19 |
| 8 | BOCOM International Securities Limited | Rep | Dealing in securities | 2009-04-03 | 2013-09-29 |
| 9 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2013-10-03 | 2020-03-16 |
| 10 | PRUDENTIAL BROKERAGE LIMITED | Rep | Dealing in securities | 2020-03-27 |
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