SFC Licences of LO Tak Fat, Ricky 盧德發
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Enlighten Futures Limited 名匯期貨有限公司 | RO | 2 | 11 September 2009 | |
| Enlighten Securities Limited 名匯證券有限公司 | RE | 1 | 18 June 2009 | |
| Piper Jaffray Asia Asset Management Limited 派杰亞洲資本管理有限公司 | RO | 5 | 21 April 2008 | 01 October 2008 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 | RO | 2 | 02 February 2005 | 02 June 2009 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 | RE | 2 | 03 March 2004 | 02 February 2005 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 | RE | 1 | 01 April 2003 | 02 June 2009 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 | RE | 4 | 01 April 2003 | 03 March 2004 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 | RE | 6 | 01 April 2003 | 03 March 2004 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 | RE | 9 | 01 April 2003 | 03 March 2004 |