SFC Licences of LO Chiu Wai 羅昭維

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

Institution Role Licences Start date End date
GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司
RE 1 16 April 2013
GF Futures (Hong Kong) Co., Limited 廣發期貨(香港)有限公司
RE 2 16 April 2013
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 4 27 July 2006 27 July 2010
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 10 January 2006 09 April 2013
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2 10 January 2006 09 April 2013
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司
RE 2 13 December 2004 30 December 2005
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司
RE 1 13 December 2004 30 December 2005
BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司
RE 2 23 March 2004 11 December 2004
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司
RE 1 23 March 2004 11 December 2004
CLSA Limited 中信里昂證券有限公司
RE 1 16 June 2003 16 March 2004
CLSA Futures Limited 里昂期貨有限公司
RE 2 16 June 2003 16 March 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司
RE 1, 4, 6, 7, 9 01 April 2003 14 May 2003
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司
RE 2, 5, 9 01 April 2003 14 May 2003