Lo, Chiu Wai (SFC:AFT576) 羅昭維

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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 BNP PARIBAS PEREGRINE FUTURES LIMITED Rep Dealing in futures contracts 2004-03-23 2004-12-11
2 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Dealing in securities 2004-03-23 2004-12-11
3 CHINA MERCHANTS FUTURES (HK) CO., LIMITED Rep Dealing in futures contracts 2006-01-10 2013-04-09
4 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Dealing in securities 2006-01-10 2013-04-09
Rep Advising on securities 2006-07-27 2010-07-27
5 CLSA FUTURES LIMITED Rep Dealing in futures contracts 2003-06-16 2004-03-16
6 CLSA LIMITED Rep Dealing in securities 2003-06-16 2004-03-16
7 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED Rep Advising on corporate finance 2003-05-14
Rep Advising on securities 2003-05-14
Rep Asset management 2003-05-14
Rep Automated trading services 2003-05-14
Rep Dealing in securities 2003-05-14
8 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED Rep Advising on futures contracts 2003-05-14
Rep Asset management 2003-05-14
Rep Dealing in futures contracts 2003-05-14
9 CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED Rep Advising on corporate finance 2003-05-14
Rep Advising on securities 2003-05-14
Rep Asset management 2003-05-14
Rep Automated trading services 2003-05-14
Rep Dealing in securities 2003-05-14
10 GF FUTURES (HONG KONG) CO., LIMITED Rep Dealing in futures contracts 2013-04-16
11 GF Securities (Hong Kong) Brokerage Limited Rep Dealing in securities 2013-04-16
12 UOB KAY HIAN (HONG KONG) LIMITED Rep Dealing in securities 2004-12-13 2005-12-30
13 UOB KAY HIAN FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2004-12-13 2005-12-30

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