Chan, Kar Lok 陳家樂
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 PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-04 | Rep | Asset management | 2004-02-04 | Rep | Dealing in futures contracts | 2004-12-11 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-02-04 | Rep | Advising on securities | 2004-02-04 | Rep | Asset management | 2004-02-04 | Rep | Dealing in securities | 2004-12-11 |
| 3 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2006-01-09 | 2008-09-30 |
| 4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2006-01-09 | 2008-09-30 | Rep | Advising on securities | 2006-07-27 | 2008-09-30 |
| 5 | Essence Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2012-06-19 | 2012-08-01 | RO | Dealing in futures contracts | 2012-08-01 |
| 6 | Essence International Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-06-19 | 2012-08-01 | Rep | Advising on securities | 2012-06-19 | 2013-01-24 | RO | Dealing in securities | 2012-08-01 | RO | Advising on securities | 2013-01-24 |
| 7 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2008-10-09 | 2009-01-16 | Rep | Dealing in securities | 2008-10-09 | 2009-01-16 | Rep | Advising on securities | 2008-10-09 | 2011-01-07 | RO | Dealing in futures contracts | 2009-01-16 | 2011-05-03 | RO | Dealing in securities | 2009-01-16 | 2011-05-03 |
| 8 | HAITONG INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2010-05-20 | 2012-06-08 |
| 9 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2010-05-20 | 2012-06-08 | RO | Dealing in securities | 2010-05-20 | 2012-06-08 |
| 10 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-12-13 | 2005-12-30 |
| 11 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-12-13 | 2005-12-30 |
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