SFC Licences of LOK Wan Wai, Sam 駱穩威

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

Institution Role Licences Start date End date
Gayang Securities Limited 嘉銀證券有限公司 RO 4 31 December 2018
Gayang Securities Limited 嘉銀證券有限公司 RO 1 31 December 2018
Gayang Securities Limited 嘉銀證券有限公司 RE 4 07 December 2018 31 December 2018
Gayang Securities Limited 嘉銀證券有限公司 RE 1 07 December 2018 31 December 2018
Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 RO 4 20 November 2017 27 July 2018
Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 RO 1 20 November 2017 27 July 2018
United Securities Limited 團結證券有限公司 RO 4 15 September 2016 29 May 2017
United Securities Limited 團結證券有限公司 RO 1 15 September 2016 29 May 2017
United Securities Limited 團結證券有限公司 RE 4 01 August 2016 15 September 2016
United Securities Limited 團結證券有限公司 RE 1 01 August 2016 15 September 2016
DA International Financial Service Limited 直達國際金融服務有限公司 RO 1 10 May 2016 24 June 2016
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 1 27 October 2014 23 January 2015
Huarong International Securities Limited 華融國際證券有限公司 RO 4 18 June 2014 31 July 2014
Huarong International Securities Limited 華融國際證券有限公司 RO 1 18 June 2014 31 July 2014
Huarong International Securities Limited 華融國際證券有限公司 RE 4 21 May 2014 18 June 2014
Huarong International Securities Limited 華融國際證券有限公司 RE 1 21 May 2014 18 June 2014
ASA Securities Limited 富國證券有限公司 RO 4 04 January 2013 05 May 2014
ASA Securities Limited 富國證券有限公司 RO 1 25 October 2012 05 May 2014
ASA Securities Limited 富國證券有限公司 RE 4 25 October 2012 04 January 2013
T G Securities Limited 滙澤證券有限公司 RO 1 28 February 2012 04 June 2012
Quantsmile (HK) Limited 量盈(香港)有限公司 RE 9 28 February 2012 04 June 2012
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 RE 9 16 August 2011 15 December 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 4 16 August 2011 15 December 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RO 1 24 June 2011 15 December 2011
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 RE 1 20 June 2011 24 June 2011
Merdeka Securities Limited 領智證券有限公司 RO 1 17 January 2011 18 May 2011
Merdeka Securities Limited 領智證券有限公司 RE 1 22 December 2010 17 January 2011
South China Research Limited 南華資料研究有限公司 RE 4 10 April 2006 23 November 2009
South China Securities Limited 南華證券投資有限公司 RE 1 12 May 2005 22 September 2010