Lor, Seton Tak Chiu 羅德昭
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2007-01-18 | 2007-02-09 | Rep | Advising on securities | 2007-01-18 | 2007-02-09 | Rep | Asset management | 2007-01-18 | 2007-02-09 | RO | Advising on futures contracts | 2007-02-09 | RO | Advising on securities | 2007-02-09 | RO | Asset management | 2007-02-09 | RO | Dealing in securities | 2007-02-09 | RO | Advising on corporate finance | 2007-07-04 |
| 2 | Manulife Investment Management (Hong Kong) Limited | Rep | Advising on corporate finance | 2004-06-14 | Rep | Dealing in securities | 2004-06-14 | Rep | Advising on futures contracts | 2005-04-25 | Rep | Advising on securities | 2005-04-25 | Rep | Asset management | 2005-04-25 | RO | Advising on futures contracts | 2005-04-25 | 2006-10-09 | RO | Advising on securities | 2005-04-25 | 2006-10-09 | RO | Asset management | 2005-04-25 | 2006-10-09 |
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