Law, Cho Kin 羅祖堅

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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 HAITONG INTERNATIONAL FUTURES LIMITED Rep Dealing in futures contracts 2004-06-25 2006-04-05
Rep Dealing in futures contracts 2009-01-30 2009-04-18
Rep Dealing in futures contracts 2011-12-13 2015-01-01
2 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Dealing in securities 2004-06-25 2006-04-05
Rep Leveraged foreign exchange trading 2005-08-31 2006-04-05
Rep Dealing in securities 2009-01-30 2009-04-18
Rep Leveraged foreign exchange trading 2009-01-30 2009-04-18
Rep Dealing in securities 2011-12-13 2015-01-01
3 KGI ASIA LIMITED Rep Advising on corporate finance 2003-11-06
Rep Advising on securities 2003-11-06
Rep Asset management 2003-11-06
Rep Dealing in securities 2003-11-12
Rep Dealing in securities 2009-04-27 2011-12-05
4 KGI FUTURES (HONG KONG) LIMITED Rep Advising on futures contracts 2003-11-06
Rep Asset management 2003-11-06
Rep Dealing in futures contracts 2003-11-12
Rep Dealing in futures contracts 2009-04-27 2011-12-05
5 SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED Rep Dealing in securities 2003-11-17 2004-06-04
6 SOUTHWEST SECURITIES (HK) FUTURES LIMITED Rep Dealing in futures contracts 2003-11-17 2004-06-04

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