Law, Cho Kin 羅祖堅
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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