Lo, Kenneth Wing Kin 盧穎堅
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 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2011-10-19 | 2011-11-30 | RO | Dealing in securities | 2011-11-30 | 2012-10-22 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2011-10-19 | 2012-10-22 |
| 3 | Huayu Securities Limited | RO | Dealing in securities | 2018-04-27 | 2021-04-30 | RO | Advising on securities | 2019-09-11 | 2021-04-30 |
| 4 | KGI ASIA LIMITED | Rep | Dealing in securities | 2016-11-21 | 2017-10-02 | Rep | Dealing in securities | 2017-10-03 | 2017-12-08 |
| 5 | PineBridge Investments Asia Limited | Rep | Advising on corporate finance | 2005-03-15 | Rep | Advising on securities | 2005-03-31 | Rep | Asset management | 2011-04-30 | Rep | Dealing in securities | 2009-04-03 | 2010-12-06 | RO | Dealing in securities | 2010-12-06 | 2011-04-30 |
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