Loke, Wai Ming 陸偉明
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 | Anbang Capital (Hong Kong) Co. Limited | Rep | Advising on corporate finance | 2014-05-20 | 2014-06-05 | Rep | Advising on securities | 2014-05-20 | 2014-06-05 | Rep | Dealing in securities | 2014-05-20 | 2014-06-05 | RO | Advising on corporate finance | 2014-06-05 | 2015-03-30 | RO | Advising on securities | 2014-06-05 | 2015-03-30 | RO | Dealing in securities | 2014-06-05 | 2015-03-30 |
| 2 | CHIEF FINANCIAL CAPITAL LIMITED | RO | Advising on corporate finance | 2013-03-14 | 2014-05-01 |
| 3 | CHIEF SECURITIES LIMITED | Rep | Advising on securities | 2012-10-12 | 2014-05-01 | Rep | Dealing in securities | 2012-10-12 | 2014-05-01 |
| 4 | CHINA EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2017-03-15 | 2017-10-11 | Rep | Advising on securities | 2017-03-15 | 2017-10-11 | Rep | Dealing in securities | 2017-03-15 | 2017-10-11 |
| 5 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on corporate finance | 2009-07-09 | 2010-03-11 | Rep | Dealing in securities | 2009-07-09 | 2011-11-08 | RO | Advising on corporate finance | 2010-03-11 | 2011-11-08 |
| 6 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2007-07-25 | 2009-02-28 | Rep | Dealing in securities | 2007-07-25 | 2009-02-28 |
| 7 | Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2007-07-25 | 2009-02-28 |
| 8 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2004-03-24 | 2007-03-29 | Rep | Advising on securities | 2004-03-24 | 2007-03-29 | Rep | Dealing in securities | 2004-03-24 | 2007-03-29 |
| 9 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2004-03-24 | 2007-03-29 | Rep | Advising on securities | 2005-04-22 | 2007-03-29 | Rep | Dealing in securities | 2005-04-22 | 2007-03-29 |
| 10 | NFH Corporate Finance Limited | RO | Advising on corporate finance | 2015-11-17 | 2017-03-15 |
| 11 | NFH Securities and Futures Limited | RO | Dealing in securities | 2016-08-25 | 2017-03-15 |
| 12 | Pulun International Capital Limited | RO | Dealing in securities | 2020-03-19 | 2021-03-03 | RO | Advising on corporate finance | 2020-03-19 | 2024-04-01 |
| 13 | RHB CAPITAL HONG KONG LIMITED | RO | Advising on corporate finance | 2017-12-12 | 2019-02-15 | RO | Dealing in securities | 2017-12-12 | 2019-02-15 |
| 14 | RHB SECURITIES HONG KONG LIMITED | RO | Advising on securities | 2017-12-12 | 2019-02-15 | RO | Dealing in securities | 2017-12-12 | 2019-02-15 |
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