Chow, Lok Yim 周樂炎
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2021-06-30 | |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2021-06-30 | |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2018-09-24 | 2019-06-14 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2018-09-24 | 2019-06-14 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2018-09-24 | 2019-06-14 |
| 6 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2019-08-06 | 2021-05-28 |
| 7 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2019-08-06 | 2021-05-28 |
| 8 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2019-08-06 | 2021-05-28 |
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