SFC licenceholder ABE379 CHAN Kar Lok 陳家樂

Licences

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

Updated: 05 April 2020

Institution Role Licences Start date End date
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RO [4] (Advising on Securities) 24 January 2013
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RO [1] (Dealing in Securities) 01 August 2012
Essence Futures (Hong Kong) Limited 安信期貨(香港)有限公司 RO [2] (Dealing in Futures Contracts) 01 August 2012
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RE [4] (Advising on Securities) 19 June 2012 24 January 2013
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司 RE [1] (Dealing in Securities) 19 June 2012 01 August 2012
Essence Futures (Hong Kong) Limited 安信期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 19 June 2012 01 August 2012
Haitong International Securities Company Limited 海通國際證券有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 20 May 2010 08 June 2012
Haitong International Futures Limited 海通國際期貨有限公司 RO [2] (Dealing in Futures Contracts) 20 May 2010 08 June 2012
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 16 January 2009 03 May 2011
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RE [4] (Advising on Securities) 09 October 2008 07 January 2011
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 09 October 2008 16 January 2009
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RE [4] (Advising on Securities) 27 July 2006 30 September 2008
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 RE [1] (Dealing in Securities) 09 January 2006 30 September 2008
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 09 January 2006 30 September 2008
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 RE [1] (Dealing in Securities) 13 December 2004 30 December 2005
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 13 December 2004 30 December 2005
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE [1] (Dealing in Securities) 01 April 2003 11 December 2004
BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 RE [2] (Dealing in Futures Contracts) 01 April 2003 11 December 2004
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 04 February 2004
BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 RE [5] (Advising on Futures Contracts), [9] (Asset Management) 01 April 2003 04 February 2004