Lo, Tsz Him (SFC:AXZ744) 羅子謙
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 | KGI ASIA LIMITED | Rep | Advising on securities | 2015-11-13 | 2017-10-02 | Rep | Dealing in securities | 2015-11-13 | 2017-10-02 | Rep | Advising on securities | 2017-10-03 | 2020-12-18 | Rep | Dealing in securities | 2017-10-03 | 2020-12-18 |
| 2 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2015-05-11 | 2015-10-30 |
| 3 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2015-05-11 | 2015-10-30 |
| 4 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in securities | 2011-09-06 | 2015-04-21 | Rep | Dealing in futures contracts | 2011-10-24 | 2015-04-21 |
| 5 | Yuanta Securities (Hong Kong) Company Limited | Rep | Dealing in futures contracts | 2012-06-21 | 2015-04-21 | Rep | Dealing in securities | 2012-06-21 | 2015-04-21 |
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