SFC Licences of LO Chi Yan 盧紫茵

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

Institution Role Licences Start date End date
Huajin Research (International) Limited 華金研究(國際)有限公司 RO 4 17 April 2019
Huajin Futures (International) Limited 華金期貨(國際)有限公司 RO 2 17 April 2019
Huajin Securities (International) Limited 華金證券(國際)有限公司 RO 1 17 April 2019
Huajin Research (International) Limited 華金研究(國際)有限公司 RE 4 04 April 2019 17 April 2019
Huajin Futures (International) Limited 華金期貨(國際)有限公司 RE 2 04 April 2019 17 April 2019
Huajin Securities (International) Limited 華金證券(國際)有限公司 RE 1 04 April 2019 17 April 2019
CLC Futures Limited 創僑期貨有限公司 RO 5 20 September 2017 20 March 2019
CLC Futures Limited 創僑期貨有限公司 RO 2 20 September 2017 20 March 2019
CLC Securities Limited 創僑證券有限公司 RO 4 20 September 2017 20 March 2019
CLC Securities Limited 創僑證券有限公司 RO 1 20 September 2017 20 March 2019
Hooray Securities Limited 好盈證券有限公司 RO 1 01 September 2014 13 September 2017
China Finance Holdings Limited 中港金融證券有限公司 RO 1 18 May 2012 08 August 2014
Finet Securities Limited 財華證券有限公司 RO 2 02 August 2011 08 August 2014
Finet Securities Limited 財華證券有限公司 RO 1 02 August 2011 08 August 2014
Finet Securities Limited 財華證券有限公司 RE 2 31 May 2011 02 August 2011
Finet Securities Limited 財華證券有限公司 RE 1 31 May 2011 02 August 2011
ASA Securities Limited 富國證券有限公司 RE 2 29 September 2010 17 December 2010
ASA Securities Limited 富國證券有限公司 RE 1 29 September 2010 17 December 2010
Huarong International Securities Limited 華融國際證券有限公司 RE 2 23 February 2010 23 September 2010
Huarong International Securities Limited 華融國際證券有限公司 RE 1 23 February 2010 23 September 2010
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 RE 1 18 July 2008 14 October 2009
Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 RE 2 18 July 2008 14 October 2009
CASH Asset Management Limited 時富資產管理有限公司 RE 9 10 February 2006 30 June 2008
Celestial Commodities Limited 時富商品有限公司 RE 2 10 February 2006 30 June 2008
Celestial Securities Limited 時富證券有限公司 RE 3 10 February 2006 30 June 2008
Celestial Securities Limited 時富證券有限公司 RE 1 01 April 2003 30 June 2008
Celestial Securities Limited 時富證券有限公司 RE 4 01 April 2003 19 February 2004
Celestial Securities Limited 時富證券有限公司 RE 9 01 April 2003 19 February 2004
Celestial Securities Limited 時富證券有限公司 RE 7 01 April 2003 19 February 2004
Celestial Securities Limited 時富證券有限公司 RE 6 01 April 2003 19 February 2004