SFC Licences of LO Karen Ka-wai 盧嘉慧
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RE | 2 | 23 September 2022 | |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RO | 4 | 12 March 2020 | |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RO | 1 | 12 March 2020 | |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 | RE | 1 | 25 March 2019 | 12 March 2020 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 4 | 10 December 2015 | 15 February 2019 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 1 | 10 December 2015 | 15 February 2019 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 | RE | 9 | 28 July 2009 | 30 July 2009 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 | RE | 4 | 26 June 2009 | 30 July 2009 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 | RE | 4 | 26 May 2008 | 02 June 2009 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 | RE | 1 | 26 May 2008 | 02 June 2009 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 | RE | 1 | 25 February 2004 | 02 March 2007 |