Or, Siu Kam 柯小琴
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 | CAPITAL FOCUS ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2024-01-16 | Rep | Asset management | 2024-01-16 |
| 2 | CHINA DEMETER SECURITIES LIMITED | RO | Dealing in securities | 2010-10-18 | 2012-12-20 |
| 3 | Goldhorse Securities Limited | RO | Dealing in securities | 2015-10-19 | 2016-01-29 |
| 4 | Greater China Securities Limited (b1999-04-26) | Rep | Dealing in securities | 2013-02-01 | 2013-02-22 | RO | Dealing in securities | 2013-02-22 | 2015-05-11 | Rep | Dealing in securities | 2016-02-22 | 2016-03-16 |
| 5 | JIMEI SECURITIES LIMITED | RO | Dealing in securities | 2009-04-16 | 2009-10-16 | RO | Dealing in securities | 2010-01-04 | 2010-09-30 |
| 6 | MORTON SECURITIES LIMITED | RO | Dealing in securities | 2016-04-18 | 2018-08-15 | Rep | Dealing in securities | 2020-10-07 | 2020-11-03 | RO | Dealing in securities | 2020-11-03 | 2023-10-06 |
| 7 | PROFIT ACCESS INVESTMENTS LIMITED | RO | Advising on securities | 2018-08-17 | 2019-06-09 | RO | Dealing in securities | 2018-08-17 | 2019-06-09 |
| 8 | QUASAR ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2020-03-20 | 2020-09-18 |
| 9 | QUASAR SECURITIES CO., LIMITED | RO | Dealing in securities | 2020-03-20 | 2020-09-18 |
| 10 | SHUN HENG SECURITIES LIMITED | Rep | Dealing in securities | 2003-12-08 | 2008-06-11 |
| 11 | SHUN LOONG SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2023-11-22 | 2024-01-19 | RO | Dealing in securities | 2024-01-19 |
| 12 | Verity Capital Limited | RO | Asset management | 2013-07-16 | 2015-05-11 | Rep | Asset management | 2016-02-22 | 2016-03-16 |
| 13 | WEI DA ASSET MANAGEMENT LIMITED | RO | Asset management | 2015-10-26 | 2016-01-29 |
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