Lo, Sau Wai 羅秀慧
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 | Arta Asset Management Limited | Rep | Advising on securities | 2017-03-13 | 2020-07-20 | Rep | Asset management | 2017-03-13 | 2020-07-20 | Rep | Dealing in securities | 2017-03-13 | 2020-07-20 |
| 2 | KGI ASIA LIMITED | Rep | Advising on securities | 2014-09-15 | 2016-09-15 | Rep | Dealing in securities | 2014-09-15 | 2016-09-15 |
| 3 | KGI Asset Management Limited | Rep | Advising on securities | 2013-09-03 | 2014-09-04 | Rep | Dealing in securities | 2013-09-03 | 2014-09-04 | Rep | Advising on securities | 2015-09-18 | 2016-09-15 | Rep | Dealing in securities | 2015-09-18 | 2016-09-15 |
| 4 | Superfund Financial (Hong Kong) Limited | Rep | Advising on securities | 2009-02-20 | 2010-06-09 | Rep | Dealing in securities | 2009-02-20 | 2010-06-09 | RO | Advising on securities | 2010-06-09 | 2011-04-30 | RO | Dealing in securities | 2010-06-09 | 2011-04-30 |
| 5 | Tyche Group Limited | Rep | Advising on securities | 2003-07-09 | 2005-07-18 | Rep | Asset management | 2003-07-09 | 2005-07-18 |
| 6 | UKFP (Asia) HK Limited | Rep | Advising on corporate finance | 2003-07-08 | Rep | Advising on securities | 2003-07-08 | Rep | Asset management | 2003-07-08 | Rep | Dealing in securities | 2003-07-08 |
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