SFC Licences of KWAN Lok Sing 關樂聲

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

Institution Role Licences Start date End date
HongDa Securities Limited 弘達金控證券有限公司
RO 1 07 January 2019 15 January 2020
CMB International Securities Limited 招銀國際證券有限公司
RO 1 19 May 2011 29 May 2018
CMB International Securities Limited 招銀國際證券有限公司
RE 1 24 September 2010 19 May 2011
CMB International Capital Holdings Corporation Limited
RE 1 13 July 2009 16 November 2010
BOCI Securities Limited 中銀國際證券有限公司
RE 1 04 January 2008 08 July 2009
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司
RE 1 03 July 2007 19 December 2007
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司
RE 1 02 May 2007 23 June 2007
Lehin Securities Limited 利興股票有限公司
RE 1 09 February 2007 13 April 2007
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司
RE 1 16 October 2006 25 October 2006
Instinet Pacific Limited 極訊亞太有限公司
Instinet Alpha Trading Limited 極訊香港有限公司
RE 1, 4, 7 01 April 2003 11 September 2006
Instinet Pacific Limited 極訊亞太有限公司
Instinet Alpha Trading Limited 極訊香港有限公司
RE 6, 9 01 April 2003 07 June 2004