SFC Licences of LOCK Pik Shan, Ivy 駱碧珊
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 | RE | 6 | 20 May 2011 | 07 January 2013 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 | RE | 1 | 20 May 2011 | 07 January 2013 |
| Central China International Capital Limited 中州國際融資有限公司 | RE | 6 | 06 January 2010 | 12 May 2011 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 4 | 23 June 2008 | 11 May 2009 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 1 | 23 June 2008 | 11 May 2009 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 6 | 29 May 2008 | 11 May 2009 |
| Joy Silver Limited 喜銀有限公司 | RE | 6 | 19 April 2006 | 14 May 2008 |
| CSC Asia Limited 群益亞洲有限公司 | RE | 6 | 23 June 2004 | 31 March 2006 |
| South China Capital Limited 南華融資有限公司 | RE | 6 | 11 June 2003 | 16 January 2004 |