Lok, Sam Wan Wai 駱穩威
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 | ASA SECURITIES LIMITED | Rep | Advising on securities | 2012-10-25 | 2013-01-04 | RO | Dealing in securities | 2012-10-25 | 2014-05-05 | RO | Advising on securities | 2013-01-04 | 2014-05-05 |
| 2 | DA INTERNATIONAL FINANCIAL SERVICE LIMITED | RO | Dealing in securities | 2016-05-10 | 2016-06-24 |
| 3 | GAYANG SECURITIES LIMITED | Rep | Advising on securities | 2018-12-07 | 2018-12-31 | Rep | Dealing in securities | 2018-12-07 | 2018-12-31 | RO | Advising on securities | 2018-12-31 | RO | Dealing in securities | 2018-12-31 |
| 4 | Hong Kong Securities (International) Company Limited | RO | Advising on securities | 2017-11-20 | 2018-07-27 | RO | Dealing in securities | 2017-11-20 | 2018-07-27 |
| 5 | Huarong International Securities Limited | Rep | Advising on securities | 2014-05-21 | 2014-06-18 | Rep | Dealing in securities | 2014-05-21 | 2014-06-18 | RO | Advising on securities | 2014-06-18 | 2014-07-31 | RO | Dealing in securities | 2014-06-18 | 2014-07-31 |
| 6 | Merdeka Securities Limited | Rep | Dealing in securities | 2010-12-22 | 2011-01-17 | RO | Dealing in securities | 2011-01-17 | 2011-05-18 |
| 7 | QUANTSMILE (HK) LIMITED | Rep | Asset management | 2012-02-28 | 2012-06-04 |
| 8 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2014-10-27 | 2015-01-23 |
| 9 | SOUTH CHINA RESEARCH LIMITED | Rep | Advising on securities | 2006-04-10 | 2009-11-23 |
| 10 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2005-05-12 | 2010-09-22 |
| 11 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Asset management | 2011-08-16 | 2011-12-15 |
| 12 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2011-06-20 | 2011-06-24 | RO | Dealing in securities | 2011-06-24 | 2011-12-15 | Rep | Advising on securities | 2011-08-16 | 2011-12-15 |
| 13 | T G SECURITIES LIMITED | RO | Dealing in securities | 2012-02-28 | 2012-06-04 |
| 14 | United Securities Limited (HK) | Rep | Advising on securities | 2016-08-01 | 2016-09-15 | Rep | Dealing in securities | 2016-08-01 | 2016-09-15 | RO | Advising on securities | 2016-09-15 | 2017-05-29 | RO | Dealing in securities | 2016-09-15 | 2017-05-29 |
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