Law, Kin Fat 羅建發
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 SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2005-01-10 | 2006-08-01 |
2 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2006-09-07 | 2007-04-02 |
3 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on securities | 2011-06-10 | 2012-09-05 | Rep | Automated trading services | 2011-06-10 | 2012-09-05 | Rep | Dealing in securities | 2011-06-10 | 2012-09-05 |
4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-12-02 | Rep | Asset management | 2003-12-02 | Rep | Automated trading services | 2003-12-02 | Rep | Advising on securities | 2004-12-22 | Rep | Dealing in securities | 2004-12-22 |
5 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-04-17 | 2009-07-03 |
6 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-04-17 | 2009-07-03 |
7 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-16 | 2009-07-03 |
8 | Mirae Asset Securities (HK) Limited | Rep | Dealing in securities | 2009-09-09 | 2011-04-28 |
9 | Seresia Asset Management Limited | Rep | Asset management | 2019-10-21 | Rep | Advising on securities | 2023-02-08 |
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