SFC Licences of LO Tsz Him 羅子謙
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 03 October 2017 | 18 December 2020 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | 18 December 2020 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 13 November 2015 | 02 October 2017 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 13 November 2015 | 02 October 2017 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 | RE | 2 | 11 May 2015 | 30 October 2015 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 | RE | 1 | 11 May 2015 | 30 October 2015 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 2 | 21 June 2012 | 21 April 2015 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 1 | 21 June 2012 | 21 April 2015 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 | RE | 2 | 24 October 2011 | 21 April 2015 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 | RE | 1 | 06 September 2011 | 21 April 2015 |