Lo, Dixon Tak Shun 勞德舜
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 | Dealing in securities | 2008-02-11 | 2014-09-13 | Rep | Asset management | 2017-01-04 | Rep | Dealing in securities | 2017-01-04 | Rep | Advising on securities | 2023-04-17 |
| 2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2017-01-04 | |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-02-11 | 2014-09-13 |
| 4 | HONG KONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2004-01-10 | Rep | Asset management | 2004-01-10 | Rep | Dealing in futures contracts | 2004-02-02 |
| 5 | HONG KONG INTERNATIONAL SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-01-10 | Rep | Advising on securities | 2004-01-10 | Rep | Asset management | 2004-01-10 | Rep | Dealing in securities | 2004-02-02 |
| 6 | KAISER FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-02-23 | 2008-01-16 |
| 7 | KAISER SECURITIES LIMITED | Rep | Dealing in securities | 2004-02-23 | 2008-01-16 |
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