SFC licenceholder AAH338 LO Kwok Sun 盧國新

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 13 November 2020

Institution Role Licences Start date End date
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 RE [1] (Dealing in Securities) 07 January 2013
Yu On Securities Company Limited 裕安證券有限公司 RE [1] (Dealing in Securities) 01 April 2003 01 January 2013
Yu On Securities Company Limited 裕安證券有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 06 October 2003
Yu On Securities Company Limited 裕安證券有限公司 RE [7] (Providing Automated Trading Services) 01 April 2003 03 July 2003