Lo, Alice Tze Chu 盧子珠
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 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2003-10-10 | Rep | Advising on securities | 2003-10-10 | Rep | Asset management | 2003-10-10 | Rep | Automated trading services | 2003-10-10 | Rep | Dealing in securities | 2008-05-14 | Rep | Advising on securities | 2014-03-07 | 2017-05-17 | Rep | Dealing in futures contracts | 2014-03-07 | 2017-05-17 | Rep | Dealing in securities | 2014-03-07 | 2017-05-17 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Advising on futures contracts | 2003-10-10 | Rep | Asset management | 2003-10-10 | Rep | Dealing in futures contracts | 2008-05-14 | Rep | Dealing in securities | 2003-10-16 | 2008-05-14 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2008-05-22 | 2013-11-26 | Rep | Advising on securities | 2011-11-01 | 2013-11-26 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-09-20 | 2013-11-26 |
| 5 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-22 | 2010-09-20 |
| 6 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on securities | 2017-05-26 | Rep | Dealing in securities | 2017-05-26 |
| 7 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2017-05-26 |
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