Kwan, Lok Sing 關樂聲
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 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2008-01-04 | 2009-07-08 |
| 2 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2006-10-16 | 2006-10-25 |
| 3 | CMB International Capital Holdings Corporation Limited | Rep | Dealing in securities | 2009-07-13 | 2010-11-16 |
| 4 | CMB International Securities Limited | Rep | Dealing in securities | 2010-09-24 | 2011-05-19 | RO | Dealing in securities | 2011-05-19 | 2018-05-29 |
| 5 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-05-02 | 2007-06-23 |
| 6 | HONGDA SECURITIES LIMITED | RO | Dealing in securities | 2019-01-07 | 2020-01-15 |
| 7 | Instinet Alpha Trading Limited | Rep | Advising on corporate finance | 2004-06-07 | Rep | Asset management | 2004-06-07 | Rep | Advising on securities | 2006-09-11 | Rep | Automated trading services | 2006-09-11 | Rep | Dealing in securities | 2006-09-11 |
| 8 | INSTINET PACIFIC LIMITED | Rep | Advising on corporate finance | 2004-06-07 | Rep | Asset management | 2004-06-07 | Rep | Advising on securities | 2006-09-11 | Rep | Automated trading services | 2006-09-11 | Rep | Dealing in securities | 2006-09-11 |
| 9 | LEHIN SECURITIES LIMITED | Rep | Dealing in securities | 2007-02-09 | 2007-04-13 |
| 10 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2007-07-03 | 2007-12-19 |
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