Lo, Ricky Tak Fat 盧德發
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 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-03-03 | |
| 2 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-03-03 | |
| 3 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Asset management | 2004-03-03 | |
| 4 | PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-03-03 | 2005-02-02 |
| 5 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2009-06-02 | |
| 6 | ENLIGHTEN SECURITIES LIMITED | Rep | Dealing in securities | 2009-06-18 | |
| 7 | PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2008-04-21 | 2008-10-01 |
| 8 | PIPER JAFFRAY ASIA FUTURES LIMITED | RO | Dealing in futures contracts | 2005-02-02 | 2009-06-02 |
| 9 | ENLIGHTEN FUTURES LIMITED | RO | Dealing in futures contracts | 2009-09-11 |
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