Lo, Chiu Wai (SFC:AFT576) 羅昭維
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 | Dealing in futures contracts | 2004-03-23 | 2004-12-11 |
2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-03-23 | 2004-12-11 |
3 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2006-01-10 | 2013-04-09 |
4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2006-01-10 | 2013-04-09 | Rep | Advising on securities | 2006-07-27 | 2010-07-27 |
5 | CLSA FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-06-16 | 2004-03-16 |
6 | CLSA LIMITED | Rep | Dealing in securities | 2003-06-16 | 2004-03-16 |
7 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-05-14 | Rep | Advising on securities | 2003-05-14 | Rep | Asset management | 2003-05-14 | Rep | Automated trading services | 2003-05-14 | Rep | Dealing in securities | 2003-05-14 |
8 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-05-14 | Rep | Asset management | 2003-05-14 | Rep | Dealing in futures contracts | 2003-05-14 |
9 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-05-14 | Rep | Advising on securities | 2003-05-14 | Rep | Asset management | 2003-05-14 | Rep | Automated trading services | 2003-05-14 | Rep | Dealing in securities | 2003-05-14 |
10 | GF FUTURES (HONG KONG) CO., LIMITED | Rep | Dealing in futures contracts | 2013-04-16 | |
11 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2013-04-16 | |
12 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-12-13 | 2005-12-30 |
13 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-12-13 | 2005-12-30 |
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