SFC Licences of LAW Kin Fat 羅建發

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

Institution Role Licences Start date End date
Seresia Asset Management Limited 信瑞資産管理有限公司 RE 9 21 October 2019
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 7 10 June 2011 05 September 2012
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 4 10 June 2011 05 September 2012
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE 1 10 June 2011 05 September 2012
Mirae Asset Wealth Management (HK) Limited 未來資產財富管理(香港)有限公司 RE 1 09 September 2009 28 April 2011
Merrill Lynch Futures (Hong Kong) Limited RE 2 16 May 2008 03 July 2009
Merrill Lynch Far East Limited RE 1 17 April 2007 03 July 2009
Merrill Lynch (Asia Pacific) Limited RE 1 17 April 2007 03 July 2009
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RE 1 07 September 2006 02 April 2007
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 10 January 2005 01 August 2006
J.P. Morgan Broking (Hong Kong) Limited RE 1 01 April 2003 22 December 2004
J.P. Morgan Broking (Hong Kong) Limited RE 4 01 April 2003 22 December 2004
J.P. Morgan Broking (Hong Kong) Limited RE 6 01 April 2003 02 December 2003
J.P. Morgan Broking (Hong Kong) Limited RE 7 01 April 2003 02 December 2003
J.P. Morgan Broking (Hong Kong) Limited RE 9 01 April 2003 02 December 2003