Lor, Seton Tak Chiu 羅德昭

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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 Manulife Investment Management (Hong Kong) Limited Rep Advising on corporate finance 2004-06-14
2 Manulife Investment Management (Hong Kong) Limited Rep Dealing in securities 2004-06-14
3 Manulife Investment Management (Hong Kong) Limited Rep Advising on futures contracts 2005-04-25
4 Manulife Investment Management (Hong Kong) Limited Rep Advising on securities 2005-04-25
5 Manulife Investment Management (Hong Kong) Limited Rep Asset management 2005-04-25
6 Manulife Investment Management (Hong Kong) Limited RO Advising on futures contracts 2005-04-25 2006-10-09
7 Manulife Investment Management (Hong Kong) Limited RO Advising on securities 2005-04-25 2006-10-09
8 Manulife Investment Management (Hong Kong) Limited RO Asset management 2005-04-25 2006-10-09
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Rep Advising on futures contracts 2007-01-18 2007-02-09
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Rep Advising on securities 2007-01-18 2007-02-09
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED Rep Asset management 2007-01-18 2007-02-09
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Advising on futures contracts 2007-02-09
13 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Advising on securities 2007-02-09
14 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Asset management 2007-02-09
15 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Dealing in securities 2007-02-09
16 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED RO Advising on corporate finance 2007-07-04

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