Lo, Kai Tung 盧啟東
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 | Arta Corporate Advisory Limited | Rep | Advising on corporate finance | 2014-01-20 | 2015-05-29 |
| 2 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2015-06-10 | 2017-05-31 | Rep | Dealing in securities | 2015-06-10 | 2017-05-31 |
| 3 | China PA Securities (Hong Kong) Company Limited | Rep | Dealing in securities | 2021-09-10 | 2022-07-07 | RO | Dealing in securities | 2022-07-07 | 2023-06-04 |
| 4 | FORTUNE (HK) SECURITIES LIMITED | Rep | Dealing in securities | 2017-06-28 | 2020-07-21 |
| 5 | FORTUNE FINANCIAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2017-06-28 | 2017-07-28 | RO | Advising on corporate finance | 2017-07-28 | 2020-07-21 |
| 6 | GUOTAI JUNAN CAPITAL LIMITED | Rep | Advising on corporate finance | 2010-01-07 | 2011-07-22 |
| 7 | HAITONG INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2011-08-15 | 2013-12-21 |
| 8 | Pine Peak Corporate Finance Limited | Rep | Advising on corporate finance | 2020-08-24 | 2020-09-09 | Rep | Dealing in securities | 2020-08-24 | 2021-03-18 | RO | Advising on corporate finance | 2020-09-09 | 2021-05-31 | RO | Dealing in securities | 2021-03-18 | 2021-05-31 |
| 9 | Ping An of China Capital (Hong Kong) Company Limited | Rep | Advising on corporate finance | 2021-09-10 | 2021-11-19 | RO | Advising on corporate finance | 2021-11-19 | 2023-06-04 |
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